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Be pen oF rae 
BOARD OF REGENTS OF 
THE SMITHSONIAN 
INSTITUTION 


: s SHOWING THE 


OPERATIONS, EXPENDITURES, AND 
: CONDITION OF THE INSTITUTION 
ie FOR THE YEAR ENDING JUNE 30 


1935. 


“SMITHSONIAN INSTITUTION 
WASHINGTON | 


ANNUAL REPORT OF THE 
BOARD OF REGENTS OF 


THE SMITHSONIAN 
INSTITUTION 


SHOWING THE 


OPERATIONS, EXPENDITURES, AND 
CONDITION: OFTHE -INSTITUTION 
FOR THE YEAR ENDING JUNE 30 


1935 


2 


4 


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(Publication 3348) 


UNITED STATES 
GOVERNMENT PRINTING OFFICE 
WASHINGTON : 1936 


For sale by the Superintendent of Documents, Washington, D.C. - - - - - - Price $1.00 (Paper cover) 


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LETTER OF TRANSMITTAL 


SMITHSONIAN INSTITUTION, 
Washington, December 16, 1938. 
To the Congress of the United States: 

In accordance with section 5593 of the Revised Statutes of the 
United States, I have the honor, in behalf of the Board of Regents, 
to submit to Congress the annual report of the operations, expendi- 
tures, and condition of the Smithsonian Institution for the year 
ended June 30, 1935. I have the honor to be, 

Very respectfully, your obedient servant, 
C. G. Aszor, Secretary. 


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CONTENTS 


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fnistanding events. <2-..<. 2. ee. aes Sek eel vetieet bes eutle 
Summary of the year’s activities of the branches of the Institution_---_-- 
The establishment-- ------- bye a eefe  SE eat A Weel tenes eden savaia pees Ses Tape 
ue eboard of Regents. ..2552—2.44-,. tee! sine ted esl cae 
minances et a Ssh ake cies Ween inet eet oe ete Sf eyes) eres Ls Sut ae 
Perrtersion general interest.3.5.5 <2 345 soa ae 
Centenary of the birth of Samuel Pierpont Langley --------------- 
Award of Langley medal to Joseph S. Ames_--.------------------ 
Walter Rathbone Bacon traveling scholarship-----_..------------- 
HourthArthureWecture: s seu UL 14 ese sees SNS. sep eppeid! oe ha 
Smithsonian Institution Exhibit at the California Pacific Interna- 
Tonal Ex posibion, L9Sp5..2550-- 545 o en Bee Sa 
Pxplorations:andpfhield work. «d!e24 vd_ess hee . yeseeeee Jesu 
PERU G1 TLS aera ee er ee ee eee ee are 


Appendix 1. Report on the United States National Museum_-_-_-------- 
2. Report on the National Gallery of Art_....-----.-------- 
3. heport-on the: Ereer, Gallery of Art. 22.2 .2-222-5225--42 53 

4. Report on the Bureau of American Ethnology------------- 

5. Report on the International Exchange Service--_----------- 

6. Report on the National Zoological Park____-------------- 

7. Report on the Astrophysical Observatory----------------- 

8. Report on the Division of Radiation and Organisms- - - ---- 

Oenive portionsenevibrany a= oe soe a = ee eee eee ee eee ee 

MOP eporirOn UDCA IONS. 2222922 5 ee oe 

Report of the executive committee of the Board of Regents_----------- 


GENERAL APPENDIX 


Weather governed by changes in the sun’s radiation, by C. G. Abbot-- ~~ -- 
Seasonal weather and its prediction, by Sir Gilbert T. Walker____-_____-_- 
The sun’s place among the stars, by Walter S. Adams----------------- 
The atmospheres of the planets, by Henry Norris Russell-_------------- 
The surface features of the moon, by F. E. Wright__-_-------_--------- 
The upper atmosphere, by G. M. B. Dobson, D. Sc., F. R. S_---------- 
The nature of the cosmic radiation, by Thomas H. Johnson_-----~------ 
Wihatsisrelectricityieby. ballet. cH ecylas 2a = ee ae eee eee 
New facts about the nucleus of the atom, by Carl D. Anderson-_-------- 
The approach to the absolute zero of temperature, by F. Simon, D. Phil-_- 
The discovery and significance of vitamins, by Sir Frederick Gowland 

TEMG] OE) GUNG. LEAS he Rei eet ie ae ene esi ee oe ee eae ae ee 
The salinity of irrigation water, by Carl S. Scofield__-_-_-_-----_-_----- 
Selenium absorption by plants and their resulting toxicity to animals, by 

ANSBTOWKE) ING LPI & vo EG sy as ee a a ee ee 


Page 


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VI CONTENTS 


The glacial history of an extinct volcano, Crater Lake National Park, by 

Wallace Ws: Atwood; dr: 344528: << s3402 25 ee es eee ee 
Concretions—freaks in stone, by R. 8S. Bassler__---------------------- 
Biology and human trends,’ by Raymond:Pearl =." 2 eee 
The relation of genetics to physiology and medicine, by Thomas Hunt 


Conservation of the Pacific halibut, an international experiment, by 
William EF... Thompsona..2 2.252 Sse 5anesoua ate ee ee 
The swallowtail butterflies, by Austin H. Clark_____._-----_-------+--- 
Those ubiquitous plants called algae, by Florence E. Meier_-_----------- 
The Boulder Canyon project, by Wesley R. Nelson___----------------- 
Wings over the.sea,. by Louis. Blériot_...2__--.- ...--2-_ 2 5SS Se as 
The coming of man from Asia in the light of recent discoveries, by Ales 
Hrdlivka. oa Gec sone Sane se ae Se eee 
The antiquity of man in America in the light of archeology, by N. C. 
Nelson sc soss sec eae eo oe ae ee Ro ee eee 
A survey of southwestern archeology, by Frank H. H. Roberts, Jr__---- 
Nuzi and the Hurrians: The excavations at Nuzi (Kirkuk, Iraq) and their 
contribution to our knowledge of the history of the Hurrians, by 
Robert... Pieiffer: .22 3 ouch eee eee eee eee 


LIST OF PLATES 


Secretary’s Report: 


VPLS eC SEE eh Sa A erp wee er ae 


Weather and sun’s radiation (Abbot): 


Sun’s place among the stars (Adams): 


Plateswl-oe ater ae Some eee kee 2 FN Me OE Ee 


Surface features of the moon (Wright): 


JARRE) TE Roce ea ee Se DE ee ee Weeks ee eee ae 


Cosmic radiation (Johnson): 


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Nucleus of the atom (Anderson): 


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Absolute zero (Simon): 


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Salinity of irrigation water (Scofield): 


Plates oe aes Sa Se Cee, Clay eA bye et 
Selenium absorption by plants (Hurd-Karrer) : 
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Extinct voleano (Atwood): 
Plates 1-6 
Concretions (Bassler) : 


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Genetics (Morgan): 
Plates 1, 2 
Pacific halibut (Thompson): 
Plates 1, 2 
Swallowtail butterflies (Clark): 


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Algae (Meier): 
Plates 1-8 
Boulder Canyon project (W. R. Nelson): 


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Wings over the sea (Blériot) : 
Plates 1-5 
Coming of man from Asia (Hrdliéka): 


Blatep laren eee OL 2k ee A a 


Southwestern archeology (Roberts): 


PTA TES il 0 eames Male n S a ere 2 


Nuzi and the Hurrians (Pfeiffer) : 
Plates 1, 2 
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ANNUAL REPORT OF THE BOARD OF REGENTS 
OF THE SMITHSONIAN INSTITUTION FOR 
THE YEAR ENDING JUNE 30, 19385 


SUBJECTS 


1. Annual report of the Secretary, giving an account of the opera- 
tions and condition of the Institution for the year ending June 380, 
1935, with statistics of exchanges, etc., including the proceedings of 
the meetings of the Board of Regents. 

2. Report of the executive committee of the Board of Regents, 
exhibiting the financial affairs of the Institution, including a state- 
ment of the Smithsonian fund, and receipts and expenditures for 
the year ending June 30, 1935. 

3. General appendix comprising a selection of miscellaneous 
memoirs of interest to collaborators and correspondents of the Insti- 
tution, teachers, and others engaged in the promotion of knowledge. 
These memoirs relate chiefly to the calendar year 1935. 

x 


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THE SMITHSONIAN INSTITUTION 
June 30, 1935 


Presiding officer ex officio FRANKLIN D. ROOSEVELT, President of the United 
States. 
Chancellor.—CHARLES EvANS Huaues, Chief Justice of the United States. 
Members of the Institution: 
FRANKLIN D. ROOSEVELT, President of the United States. 
JOHN N. GARNER, Vice President of the United States. 
CHARLES Evans HueHeEs, Chief Justice of the United States. 
CorDELL Hutt, Secretary of State. 
HENRY MoORGENTHAU, JR., Secretary of the Treasury. 
GEORGE H. Dern, Secretary of War. 
Homer S. Cummines, Attorney General. 
JAMES A. FARLEY, Postmaster General. 
CLAUDE A. Swanson, Secretary of the Navy. 
Harorp L. Ickes, Secretary of the Interior. 
Henry A. Watracs, Secretary of Agriculture. 
DANIEL C. Roper, Secretary of Commerce. 
FRANCES Perkins, Secretary of Labor. 
Regents of the Institution: 
CHarLES Evans Huauss, Chief Justice of the United States, Chancellor. 
JouHN N. GARNER, Vice President of the United States. 
JosrpH T. Rosrnson, Member of the Senate. 
M. M. Logan, Member of the Senate. 
CHARLES L. McNary, Member of the Senate. 
T. ALAN GoLpSsBoROUGH, Member of the House of Representatives. 
CHARLES L. Girrorp, Member of the House of Representatives. 
CLARENCE CANNON, Member of the House of Representatives. 
FrepERIC A. DELANO, citizen of Washington, D. C. (reappointment pending). 
JOHN C. MERRIAM, Citizen of Washington, D. C. 
R. WALTON Mookrg, citizen of Virginia. 
Rosert W. BIncHAM, citizen of Kentucky. 
Aveustus P. Lorine, citizen of Massachusetts. 
Executive committee—FrREDERIC A. DELANO, JOHN C. MerriAmM, R. WALTON 
Moore. 
Secretary.—CHARLES G. ABBOT. 
Assistant Secretary.—ALEXANDER WETMORE. 
Administrative assistant to the Secretary— HARRY W. DorsEY. 
Treasurer.—NIcHOLAS W. DORSEY. 
Editor.— WEBSTER P. TRUE. 
Librarian.—WILLIAM L. CorRBIN. 
Personnel officer—HseLen A. OLMSTED. 
Property clerk.—JAMES H. HIt. 


UNITED STATES NATIONAL MUSEUM 


Keeper ex officio.—CHARLES G. ABBOT. 
Assistant Secretary (in charge).—ALEXANDER WETMORE. 
Associate Director—JOHN E. GRAF. 
xI 


XII ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


SCIENTIFIC STAFF 


DEPARTMENT OF ANTHROPOLOGY : 
Walter Hough, head curator; W. H. Egberts, chief preparator. 

Division of Hthnology: Walter Hough, curator; H. W. Krieger, curator; 
H. B. Collins, Jr., assistant curator; Arthur P. Rice, collaborator. 

Section of Musical Instruments: Hugo Worch, custodian. 
Section of Ceramics: Samuel W. Woodhouse, collaborator. 

Division of Archeology: Neil M. Judd, curator; F. M. Setzler, assistant 
curator; R. G. Paine, aide; J. Townsend Russell, honorary assistant cura- 
tor of Old World archeology. 

Division of Physical Anthropology: AleS Hrdlitka, curator; Thomas D. 
Stewart, assistant curator. 

Collaborator in anthropology: George Grant MacCurdy; D. I. Bushnell, Jr. 

Associate in historic archeology: Cyrus Adler. 

DEPARTMENT OF BIOLOGY: 
Leonhard Stejneger, head curator; W. L. Brown, chief taxidermist. 

Division of Mammals: Gerrit 8S. Miller, Jr., curator; Remington Kellogg, 
assistant curator; A. J. Poole, scientific aide; A. Brazier Howell, collabo- 
rator. 

Division of Birds: Herbert Friedmann, curator; J. H. Riley, associate 
curator; Alexander Wetmore, custodian of alcoholic and skeleton col- 
lections; Casey A. Wood, collaborator; Arthur C. Bent, collaborator. 

Division of Reptiles and Batrachians: Leonhard Stejneger, curator; Doris 
M. Cochran, assistant curator. 

Division of Fishes: George 8S. Myers, asistant curator; E. D. Reid, aide. 

Division of Insects: L. O. Howard, honorary curator; Edward A. Chapin, 
curator; William Schaus, honorary assistant curator; B. Preston Clark, 
collaborator. 

Section of Hymenoptera: S. A. Rohwer, custodian; W. M. Mann, as- 
sistant custodian; Robert A. Cushman, assistant custodian. 

Section of Myriapoda: O. F. Cook, custodian. 

Section of Diptera: Charles T. Greene, assistant custodian. 

Section of Coleoptera: L. L. Buchanan, specialist for Casey collection. 

Section of Lepidoptera: J. T. Barnes, collaborator. 

Section of Orthoptera: A. N. Caudell, custodian. 

Section of Hemiptera: W. L. McAtee, acting custodian. 

Section of Forest Tree Beetles: A. D. Hopkins, custodian. 

Division of Marine Invertebrates: Waldo L. Schmitt, curator; C. R. Shoe- 
maker, assistant curator; James O. Maloney, aide; Mrs. Harriet Rich- 
ardson Searle, collaborator; Max M. Ellis, collaborator; William H. 
Longley, collaborator; Maynard M. Metcalf, collaborator; Joseph A. 
Cushman, collaborator in Foraminifera; Charles Branch Wilson, col- 
laborator in Copepoda. 

Division of Mollusks: Paul Bartsch, curator; Harald A. Rehder, assistant 
curator; Joseph P. EH. Morrison, senior scientific aide; Mary Breen, col- 
laborator. 

Section of Helminthological Collections: Maurice C. Hall, custodian. 

Division of Echinoderms: Austin H. Clark, curator. 

Division of Plants (National Herbarium): Frederick V. Coville, honorary 
curator; W. R. Maxon, associate curator; Ellsworth P. Killip, associate 
curator; Emery C. Leonard, assistant curator; Conrad V. Morton, aide; 
Hgbert H. Walker, aide; John A. Stevenson, custodian of C. G. Lloyd 
mycological collection. 


ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 XII 


DEPARTMENT OF BroLoay—Continued. 
Division of Plants—Continued. 
Section of Grasses: Albert S. Hitchcock, custodian. 
Section of Cryptogamie Collections: O. F. Cook, assistant curator. 
Section of Higher Algae: W. T. Swingle, custodian. 
Section of Lower Fungi: D. G. Fairchild, custodian. 

Associates in Zoology: C. Hart Merriam, W. L. Abbott, Mary J. Rathbun, 
C. W. Stiles, Theodore S. Palmer, William B. Marshall. 

Associate Curator in Zoology: Hugh M. Smith. 

Associate in Marine Sediments: T. Wayland Vaughan. 

Collaborator in Zoology: Robert Sterling Clark. 

Collaborators in Biology: A. K. Fisher, David C. Graham. 

DEPARTMENT OF GEOLOGY : 
R. S. Bassler, head curator. 

Division of Physical and Chemical Geology (systematic and applied) : W. F. 
Foshag, curator; Edward P. Henderson, assistant curator. 

Division of Mineralogy and Petrology: W. F. Foshag, curator; Frank L. 
Hess, custodian of rare metals and rare earths. 

Division of Stratigraphic Paleontology: Charles EK. Resser, curator; Gustav 
A. Cooper, assistant curator; Jessie G. Beach, aide; Margaret W. Mcodey, 
aide for Springer collection. 

Section of Invertebrate Paleontology: T. W. Stanton, custodian of 
Mesozoic collection; Paul Bartsch, curator of Cenozoic collection. 

Division of Vertebrate Paleontology: Charles W. Gilmore, curator; C. Lewis 
Gazin, assistant curator; Norman H. Boss, chief preparator. 

Associate in Mineralogy: W. T. Schaller. 

Associates in Paleontology: E. O. Ulrich, August F. Foerste. 

Associate in Petrology: Whitman Cross. 

DEPARTMENT OF ARTS AND INDUSTRIES: 
Carl W. Mitman, head curator. 

Division of Engineering: Frank A. Taylor, curator. 

Section of Mechanical Technology: Frank A. Taylor, in charge; Fred 
C. Reed, scientific aide. 

Section of Aeronautics: Paul E. Garber, assistant curator. 

Section of Mineral Technology: Carl W. Mitman, in charge; Chester 
G. Gilbert, honorary curator. 

Division of Textiles: Frederick L. Lewton, curator; Mrs. E. W. Rosson, aide. 
Section of Wood Technology: William N. Watkins, assistant curator. 
Section of Organic Chemistry: Aida M. Doyle, aide. 

Division of Medicine: Charles Whitebread, assistant curator. 

Division of Graphic Arts: R. P. Tolman, curator; C. Allen Sherwin, scien- 

tific aide. 
Section of Photography: A. J. Olmsted, assistant curator. 

Loeb Collection of Chemical Types: Aida M. Doyle, in charge. 

DIVISION oF History: T. T. Belote, curator; Charles Carey, assistant curator ; 
Mrs. C. L. Manning, philatelist. 


ADMINISTRATIVE STAFF 


Chief of correspondence and documents.—H. S. BRYANT. 

Assistant chief of correspondence and documents —L. E. COMMERFORD. 
Superintendent of buildings and labor.—J. S. GOLDSMITH. 

Assistant superintendent of buildings and labor.—R. H. TREMBLY. 
Editor.—PaAuvuL H. OEFHSER. 


XIV ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Engineer.—C. R. DENMARK. 

Accountant and auditor.—N. W. Dorsey. 
Photographer.—A. J. OLMSTED. 

Property clerk—W. A. KNOWLES. 
Assistant Librarian.—Lrita F. CLARK. 


NATIONAL GALLERY OF ART 


Acting director.—RvEL P. TOLMAN. 


FREER GALLERY OF ART 


Curator.—JOHN EXLLERTON LODGE. 

Associate curator.—CarRL WHITING BISHOP. 
Assistant curator.—GRAcE DUNHAM GUEST. 
Associate.—KATHARINE NASH RHOADES. 
Assistant.— ARCHIBALD G. WENLEY. 
Superintendent. JoHN Buwnpy. 


BUREAU OF AMERICAN ETHNOLOGY 


Chief.—MATTHEW W. STIRLING. 

Ethnologists—JoHN P. HARrRIneTon, JOHN N. B. Hewitt, TRUMAN MICHELSON, 
JOHN R. SWANTON, WILLIAM D. STRONG. 

Archeologist —FRANK H. H. Roserts, Jr. 

Editor.—StTANLEY SEARLES. 

Librarian.—ELua LEARY. 

Illustrator.—Epwin G. CASSEDY. 


INTERNATIONAL EXCHANGES 


Secretary (in charge).—CHARLES G. ABBOT. 
Chief Clerk.—CoaTEs W. SHOEMAKER. 


NATIONAL ZOOLOGICAL PARK 


Director.—WILLIAM M. MANN. 
Assistant Director—ERNEST P. WALKER. 


ASTROPHYSICAL OBSERVATORY 


Director.—CHARLES G. ABBOT. 

Assistant director.—LoyAL B. ALDRICH. 

Research assistant.—FREDERICK BE. Fow Le, Jr. 
Associate research assistant.—WILLIAM H. Hoover. 


DIVISION OF RADIATION AND ORGANISMS 


Director.—CHARLES G. ABBOT. 

Assistant director.—H aru S. JOHNSTON. 

Associate research assistant.—EpWaArRD D. McALISTER. 
Assistant in radiation research.—LELAND B. CLARK. 
Research associate-—FLORENCE E. MEIER. 


REPORT OF THE SECRETARY OF THE 
SMITHSONIAN INSTITUTION 


CG. ABBOT 
FOR THE YEAR ENDED JUNE 30, 1935 


To the Board of Regents of the Smithsonian Institution. 

GENTLEMEN: I have the honor to submit herewith my report 
showing the activities and condition of the Smithsonian Institution 
and the Government bureaus under its administrative charge during 
the fiscal year ended June 30, 1935. The first 12 pages contain a 
summary account of the affairs of the Institution, and appendixes 
1 to 10 give more detailed reports of the operations of the National 
Museum, the National Gallery of Art, the Freer Gallery of Art, 
the Bureau of American Ethnology, the International Exchanges, 
the National Zoological Park, the Astrophysical Observatory, the 
Division of Radiation and Organisms, the Smithsonian Library, 
and of the publications issued under the direction of the Institution. 
On page 81 is the financial report of the executive committee of 
the Board of Regents. 


OUTSTANDING EVENTS 


Despite the continued curtailment of funds available for the Insti- 
tution’s work, notably the drastic reduction in appropriations for 
printing the scientific series normally issued by the National Museum 
and the Bureau of American Ethnology, marked progress has been 
made along several lines. Study of periodicities in the weather, 
related to similar periodicities found in the variation of the solar 
radiation, has progressed to the point where test weather forecasts 
have been made for 30 stations in the United States for the years 
1934, 1935, and 1936. The forecasts for 1934 gave satisfactory agree- 
ment with the actual weather conditions for about two-thirds of the 
stations. Reductions of the solar observations for a year at the new 
Mount St. Katherine station indicate that they will be quite as excel- 
lent and numerous as those of the best Smithsonian station at Monte- 
zuma, Chile. John A. Roebling has generously provided funds for 
the continued occupation of Mount St. Katherine till 1988. 

Special attention was given to the problem of the so-called Folsom 
man, a people associated with the earliest known phase of aboriginal 


1 


2 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


American culture. In Colorado a Smithsonian expedition unearthed 
for the first time a variety of implements belonging to that culture, 
including many of the typical Folsom points. A number of these 
implements were found in direct association with bones of an extinct 
form of bison. Further work at this site was under way at the 
close of the year. 

An allotment of $680,000 from the Public Works Administration 
was made for the erection of three much-needed buildings at the 
National Zoological Park. The Walter Rathbone Bacon traveling 
scholarship was awarded to Dr. Richard E. Blackwelder for an 
intensive study of the staphylinid beetles of the West Indies. The 
seventh award of the Langley Medal was made to Dr. Joseph S. 
Ames, chairman of the National Advisory Committee for Aeronau- 
tics, for his outstanding work in connection with the scientific devel- 
opment of aviation in America. In the Division of Radiation and 
Organisms experiments were carried through relating to the growth 
of tomato plants under controlled conditions of temperature, humid- 
ity, and radiation; the growth of wheat out-of-doors with controlled 
quantities of carbon dioxide; and the dependence of the growth of 
wheat and of algae on the wave lengths of radiation. 

Among the year’s publications may be mentioned Dr. Strong’s 
account of the results of his archeological expedition to the Bay 
Islands, Spanish Honduras; Dr. Roberts’ paper on his investiga- 
tions of Folsom man; and the second in the Freer Gallery’s series 
of Oriental Studies, “A Descriptive and Lllustrated Catalogue of 
Miniature Paintings of the Jaina Kalpasitra as Executed in the Early 
Western Indian Style ”, by W. Norman Brown, with 45 full-tone plates. 


SUMMARY OF THE YEAR’S ACTIVITIES OF THE BRANCHES OF THE 
INSTITUTION 


National Museum.—The appropriations for the year totaled 
$716,071, an increase of $61,200 over last year. New specimens 
added to the collections numbered 296,468. These included an- 
thropological material representing many of the North and South 
American Indian tribes, large collections of natural-history speci- 
mens resulting from field work in Brazil by Dr. Doris Cochran 
and from a third Hancock expedition to the Galapagos Islands par- 
ticipated in by Dr. W. L. Schmitt, biological specimens from Siam 
and China sent by Dr. Hugh M. Smith and Dr. D. C. Graham, a 
valuable collection of Paleozoic fossils presented by Edward N. 
Hurlburt, of Rochester, N. Y., and nearly 50,000 plant specimens 
from various sources. To the industrial series were added the motor- 
less sailplane Falcon (1934), the cup presented to the winner of the 
first Vanderbilt automobile race 30 years ago, several interesting 


REPORT OF THE SECRETARY 3 


ship and locomotive models, and a complete Mergenthaler linotype 
(no. 9). Field work, though greatly limited from lack of funds, was 
carried on chiefly through the cooperation and generosity of out- 
side individuals, through grants from the Smithsonian Institution, 
and through assistance from the P. W. A. It will be described in 
detail in the special report of the Museum in Appendix 1. Visitors 
to the several Museum buildings during the year totaled 1,841,306. 
Under the auspices of various educational, scientific, or Government 
agencies, 17 special exhibits were held during the year in the foyer 
of the National Museum. 

National Gallery of Art.—Seven special exhibitions were held dur- 
ing the year, representing the work of Clayton Knight, Alexander 
Trowbridge, Emil Jacques, William Woollett, Elena and Bertha de 
Hellebranth, Howard Fremont Stratton, and the artists enrolled in 
the Civilian Conservation Corps camps. A number of art works 
were accessioned subject to transfer to the Gallery if approved by 
the National Gallery of Art Commission. Under the Catherine 
Walden Myer fund, two early American miniatures were purchased 
for the Gallery. The fourteenth annual meeting of the National 
Gallery of Art Commission was held on December 11, 1934. 

Freer Gallery of Art—The year’s additions to the collection in- 
clude Chinese bronzes, jade, and ceramics, Syrian glass, Arabic and 
Persian manuscripts, Chinese, Indian, and Persian paintings, Persian 
silver, and Arabic wood-carving. Curatorial work was devoted to 
the study of Chinese, Japanese, Armenian, Arabic, and Persian ob- 
jects, and of the texts and seals associated with them. During the 
year 1,268 objects and 153 photographs of objects were submitted 
to the curator for an opinion as to their identity, meaning, or his- 
torical or esthetic value. Visitors totaled 130,346, and 78 groups 
were given docent service. The special exhibition of Whistler’s work 
installed on May 14, 1934, in honor of the Whistler Centenary, was 
taken down on December 26. 

Bureau of American Ethnology.—Systematic researches conducted 
by members of the Bureau staff included investigation of finds of 
the eastern type of Folsom points in Virginia, inspection of mound 
excavations near Macon, Ga., examination of archeological sites in 
Georgia and Florida, researches on the ethnology of the Indians of 
California and other related western Indians, and extensive study 
and publication on the problem of Folsom man, based on explora- 
tions at the Lindenmeier site, Colorado. Linguistic studies were 
conducted on several Indian languages, including Timucua, Natick, 
and Algonquian. Further researches were carried on relating to the 
League of the Iroquois, and a number of Indian songs were recorded 

36923—36——2 


4 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


at the Century of Progress Exposition. Extensive reports were pub- 
lished on the archeology of Nebraska and of the Bay Islands of 
Spanish Honduras. 

International Exchanges——In the official exchange with other 
countries of governmental and scientific documents, the exchange 
service handled during the year a total of 654,181 packages, weigh- 
ing 560,381 pounds. There are now 111 full and partial sets of 
governmental documents and 102 copies of the daily issue of the 
Congressional Record sent to foreign depositories. 

National Zoological Park.—Accessions to the collection during the 
vear numbered 627, and removals through various causes totaled 
695, leaving the collections at the close of the year at 2,170 animals, 
representing 665 different species of mammals, birds, reptiles, and 
other forms. The number of visitors was 2,046,149, including groups 
from 394 schools in 20 States and the District of Columbia. An allot- 
ment of $680,000 was made on January 26, 1935, by the Public Works 
Administration for the construction of a small mammal house, a 
pachyderm house, an addition to the bird house, and mechanical 
shops, buildings that have been urgently needed for many years. 
Work was immediately started on the plans and specifications in the 
office of the Supervising Architect, with Edwin H. Clarke as con- 
sulting architect. Much work was also done on the buildings and 
grounds with labor and materials supplied by the Emergency Works 
Administration. The greatest need of the Zoo is for more liberal 
appropriations for the purchase of specimens. 

Astrophysical Observatory.—Regular observations of the solar 
constant of radiation have been continued daily at the three solar 
observing stations at Table Mountain, Calif.; Montezuma, Chile; 
and Mount St. Katherine, Egypt. The observations from Mount 
St. Katherine have been reduced at the central station at Washing- 
ton under the direction of the assistant director, L. B. Aldrich, 
assisted by a special staff of computers made available under a grant 
from John A. Roebling. The results indicate that this station, 
established in 1934, will prove to be one of high excellence. Analysis 
of solar variation since 1920 has revealed 12 periodicities, all aliquot 
parts of 23 years. These periodicities are also found in temperature 
and precipitation records for six terrestrial stations for the past cen- 
tury, and the 23-year cycle is found in the levels of lakes and streams, 
the widths of tree-rings, the catches of ocean fish, varves of Pleisto- 
cene and Eocene geologic age, and other phenomena depending on 
weather. Forecasts of temperature and precipitation for 1934, 1935, 
and 1936 for over 30 stations in the United States have been made, 
and satisfactory agreement between forecasts and the events have 
been found for two-thirds of the stations during 1934. 


REPORT OF THE SECRETARY 5 


Division of Radiation and Organisms.—TVhe following investiga- 
tions were undertaken by the scientific staff of the Division: The 
dependence of the growth of algae and wheat on the wave lengths of 
radiation, determined by experiments conducted with Christiansen 
filters specially adapted to this work by improvements made in the 
Division; growth experiments on tomato plants under control as to 
temperature, humidity, and color and intensity of radiation; experi- 
ments in cooperation with the United States Department of Agri- 
culture on the promotion and inhibition of the germination of seeds 
under different selected wave lengths of light; and an experiment 
on the growth of wheat under out-of-door conditions with controlled 
quantities of carbon dioxide. Several papers embodying the results 
of these investigations were published during the year in the Smith- 
sonian Miscellaneous Collections, and others were in preparation. 


THE ESTABLISHMENT 


The Smithsonian Institution was created by act of Congress in 
1846, according to the terms of the will of James Smithson, of Eng- 
land, who in 1826 bequeathed his property to the United States of 
America “to found at Washington, under the name of the Smith- 
sonian Institution, an establishment for the increase and diffusion of 
knowledge among men.” In receiving the property and accepting 
the trust, Congress determined that the Federal Government was 
without authority to administer the trust directly, and, therefore, 
constituted an “establishment” whose statutory members are “the 
President, the Vice President, the Chief Justice, and the heads of the 
executive departments.” 


THH BOARD OF REGENTS 


The affairs of the Institution are administered by a Board of 
Regents whose membership consists of “the Vice President, the 
Chief Justice, three Members of the Senate, and three Members of 
the House of Representatives, together with six other persons other 
than Members of Congress, two of whom shall be resident in the 
city of Washington and the other four shall be inhabitants of some 
State, but no two of them of the same State.” One of the regents 
is elected chancellor of the board. In the past the selection has 
fallen upon the Vice President or the Chief Justice, and a suitable 
person is chosen by the regents as Secretary of the Institution, who 
is also secretary of the Board of Regents, and the executive officer 
directly in charge of the Institution’s activities. 

Changes in the personnel of the Board during the year included 
the appointment on January 23, 1935, of Senator Charles L. McNary, 
of Oregon, as a regent to succeed Senator David A. Reed, whose term 


6 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


as a Senator expired January 3, 1935; and the appointment by the 
Speaker on February 21, 1935, of Representative Clarence Cannon, 
of Missouri, to fill out the unexpired term to December 25, 1935, of 
Representative E. H. Crump, whose term as a Representative had 
expired on January 3, 1935. 

The roll of regents at the close of the year was as follows: 
Charles Evans Hughes, Chief Justice of the United States, Chan- 
cellor; John N. Garner, Vice President of the United States; mem- 
bers from the Senate—Joseph T. Robinson, M. M. Logan, Charles L. 
McNary; members from the House of Representatives—T. Alan 
Goldsborough, Clarence Cannon, Charles L. Gifford; citizen mem- 
bers—F rederic A. Delano, Washington, D. C. (reappointment pend- 
ing before Congress); John C. Merriam, Washington, D. C.; R. 
Walton Moore, Virginia; Robert W. Bingham, Kentucky; Augustus 
P. Loring, Massachusetts. 

Proceedings.—Only one meeting of the full Board was held dur- 
ing the year—the annual meeting on January 17, 1935. This date 
for the annual meeting was fixed by a resolution adopted by the 
Board on December 14, 1933, naming “ the second Thursday follow- 
ing the first Monday in January” thereafter as the date for the 
annual meeting, on account of the change of the date for the annual 
convening of Congress to January 3. The regents present were Chief 
Justice Charles Evans Hughes, chancellor, Senators Joseph T. Rob- 
inson and M. M. Logan, Representatives T. Alan Goldsborough and 
Charles L. Gifford, Frederic A. Delano, Hon. Irwin B. Laughlin, 
Hon. R. Walton Moore, Augustus P. Loring, Dr. John C. Merriam, 
and the Secretary, Dr. Charles G. Abbot. 

The Secretary presented his annual report, detailing the activities 
of the several Government branches and of the parent Institution 
during the year, and Mr. Delano presented the report of the execu- 
tive committee, covering financial statistics of the Institution. The 
Secretary also presented the annual report of the National Gallery 
of Art Commission. 

The Secretary presented his usual special report reviewing the 
outstanding events of the year, and Mr. Delano presented resolutions 
prepared by the Permanent Committee, calling the attention of the 
President of the United States to the urgency of grants from the 
Public Works Administration to carry out the Institution’s build- 
ing program. A resolution was adopted authorizing the transfer 
of the income of the Loeb fund for a chemical type museum to other 
purposes in connection with the library of the Chemists’ Club of 
New York City, under certain conditions. 

The Board adopted a resolution awarding the Langley Gold Medal 
for Aerodromics to Dr. Joseph Sweetman Ames, 


REPORT OF THE SECRETARY 7 


The meeting then adjourned, and the regents inspected the special 
exhibits in the Secretary’s office illustrative of some of the Institu- 
tion’s recent activities. 

FINANCES 


A statement will be found in the report of the executive committee, 
page 81. 


MATTERS OF GENERAL INTEREST 
CENTENARY OF THE BIRTH OF SAMUEL PIERPONT LANGLEY 


On August 22, 1934, the Institution commemorated the one- 
hundredth anniversary of the birth of Samuel Pierpont Langley, 
its third Secretary, and one of the foremost American scientists of 
the nineteenth century. On that date there was issued a pamphlet 
consisting of extracts from Langley’s own writings, in which he de- 
scribed his important discoveries in astronomy, astrophysics, physics, 
and aeronautics. This pamphlet reveals strikingly the value and 
breadth of Langley’s researches. To the public, his name is best 
known in connection with his work in aeronautics, but to men of 
science his fundamental researches in astronomy and physics are of 
outstanding importance. The titles of some of the papers from 
which quotations are given in the memorial pamphlet will reveal 
the scope of his interest: “On the minute structure of the solar 
photosphere ”; “The total solar eclipse of July 29, 1878”; “The 
bolometer and radiant energy”; “On the amount of atmospheric 
absorption ”; “The temperature of the moon”; “On hitherto un- 
recognized wave-lengths”; “On a possible variation of the solar 
radiation and its probable effect on terrestrial temperatures.” 

A special exhibition was also arranged in the Smithsonian Build- 
ing of scientific apparatus invented by Langley and of articles as- 
sociated with him during his lifetime. Outstanding among his 
inventions was the bolometer, an electrical thermometer capable of 
detecting a change of heat as little as a millionth of a degree 
Centigrade. 


AWARD OF LANGLEY MEDAL TO JOSEPH S. AMES 


The Langley Medal for Aerodromics of the Smithsonian Insti- 
tution was presented on May 21, 1935, to Dr. Joseph S. Ames, of 
Johns Hopkins University, Chairman of the National Advisory 
Committee for Aeronautics, and for years one of the foremost 
figures associated with the scientific development of American 
aviation. The presentation was made by Chief Justice Charles E. 
Hughes, Chancellor of the Institution, in accordance with the award 
of the Board of Regents at their annual meeting in January. The 


8 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


award, it was stated in the resolution accompanying the medal, was 
“in recognition of the surpassing improvement of the performance, 
efficiency, and safety of American aircraft resulting from the funda- 
mental scientific researches conducted by the National Advisory 
Committee for Aeronautics under the leadership of Dr. Ames.” 

He was one of the 12 original members of this committee 
appointed by President Wilson in 1915. He has served on 20 of its 
subcommittees and acted as chairman of many of them. He has 
been executive head of the organization since 1919, during which 
time it has developed the famous Langley Laboratory, where many 
airplane improvements now universally in use have been devised. 

In accepting the medal, Dr. Ames said: 


Mr. CHANCELLOR: 

It is with the utmost pleasure that I accept the Langley Medal, and I beg 
to express to you and your associates my sincere thanks for the great honor 
paid me. There is no honor in the field of aeronautics as great as this. 

When your secretary, Dr. Abbot, informed me that it had been voted to 
bestow the medal upon me, I was overwhelmed by a feeling of unworthiness. 
I had not made any contribution of note either to the science or to the art 
of aeronautics. But I soon realized that the award was not made to me as 
the result of such services as these, but rather as the result of my connection 
with the National Advisory Committee for Aeronautics. I think everyone will 
grant that no single factor has had such a great influence in the notable 
progress in both theoretical and applied aeronautics in this country during 
the past 20 years as the National Advisory Committee for Aeronautics, and I 
am proud to think that your Committee of Award consider me as in some way 
responsible for the guidance of this work. This point of view I can under- 
stand. For I have been a member of the committee since it was established 
and its executive head for many years. But only I know how far from justi- 
fied anyone is in attributing the good work of the committee to me. I have 
simply done my best to make it possible for our scientists and engineers to 
perform their investigations and to so cooperate with my associates on the 
committee as to direct its policy wisely. 

In recognizing this type of administrative work as of such value as to merit 
the award of the Langley Medal, I think that your committee, Mr. Chancellor, 
is not alone justified but also wise, and I am particularly pleased by the fact 
that this honor comes to our committee while I am its chairman. 


WALTER RATHBONE BACON TRAVELING SCHOLARSHIP 


The Walter Rathbone Bacon traveling scholarship of the Smith- 
sonian Institution was awarded in May 1935 to Dr. Richard E. 
Blackwelder, at that time engaged in entomological work at the 
United States National Museum, for an intensive study of the 
staphylinid beetles of the West Indies. Dr. Blackwelder will collect 
these beetles, comprising one of the largest and least-known animal 
families on earth, on 25 West Indian Islands, including Cuba, 
Hispaniola, Puerto Rico, and Jamaica. Because of the small size 


REPORT OF THE SECRETARY 9 


and, as a rule, economic unimportance of this family, it has been 
much neglected. 

The entomologist will make an intensive search for specimens in 
West Indian anthills. Several species are commensal with ants and, 
because of this way of life, have developed curious forms. Some of 
them seem to be kept by the ants as “ domestic animals.” They are 
housed, protected, and fed by their hosts because of the body secre- 
tion, which is a favorite food of the hosts. Some, on the other 
hand, seem to live with the ants entirely for the purpose of feeding 
on them and on their young. Even these are tolerated by their 
hosts, who apparently have no realization of how they are being 
victimized. 

Staphylinid beetles are also numerous in fungous deposits and in 
decaying vegetable matter. They remain hidden much of the time, 
so that little information is available on their habits and life his- 
tories. They are found over most of the world. Large collections 
have been made in Europe and in the United States, and the Na- 
tional Museum has a considerable representation of the different 
species. The West Indies constitute largely unexplored territory, 
so far as these beetles are concerned, and it is probable that many 
new species will be identified from Dr. Blackwelder’s collection. 

After completing his work in the West Indies, Dr. Blackwelder 
will study the large collections in the British Museum. 


FOURTH ARTHUR LECTURE 


Under a bequest received in 1931 from the late James Arthur, of 
New York City, a lecture is delivered each year at the Institution on 
some phase of the study of the sun. 

The fourth annual Arthur Lecture was given in the auditorium of 
the National Museum on December 18, 1934, by Dr. Walter S. Adams, 
director of the Mount Wilson Observatory, on “'The Sun as a Typi- 
cal Star.” Dr. Adams, one of the foremost astronomers of the world, 
has made original researches on the place of the sun among the 
billions of stars of the galaxy. The lecture will be published in the 
general appendix to the Smithsonian Report for 1935. 


SMITHSONIAN INSTITUTION EXHIBIT AT THE CALIFORNIA PACIFIC 
INTERNATIONAL EXPOSITION, 1935 


The Smithsonian exhibit at the California Pacific International 
Exposition, which opened at San Diego May 29, 1935, was prepared 
under the direction of Carl W. Mitman, head curator of arts and 
industries, National Museum. It is one of a group visualizing activ- 
ities of the major departments and independent establishments of 


10 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the Federal Government. All these exhibits are installed in a newly 
constructed permanent building simulating an Aztec temple erected 
in the Exposition grounds. They are distributed over the single 
floor of the building, the area of which is 170 by 150 feet. The space 
assigned to the Smithsonian Institution is 38 feet long by 138 feet 
wide, and is situated along the wide wall to the west or right of the 
main entrance. 

The limited allotment of space and money for the participation of 
the Smithsonian Institution in the Exposition precluded the prepara- 
tion of either a general exhibit of all Smithsonian activities or a 
complete exposition of any single activity. A small exhibit was, 
therefore, prepared to indicate some of the ethnological work of the 
Institution in the Southwest. 

The space is arranged in the form of a rectangular alcove, the 
sides of which are exhibition cases 12 feet deep by 9 feet wide. For 
the rear wall area there was designed a pictorial map of the South- 
west, 8 by 6 feet in size. This was painted by Benson B. Moore, 
of Washington, D. C., in old cartographic style and portrays the 
journeys of the Spanish explorer, Coronado, in the Southwest in 
1540-1543, together with many sites of modern explorations made 
in this area by the Institution. 

According to the historic record of his explorations, Coronado 
first contacted the Apache Indians and subsequently conquered the 
Zuiis. In the exhibition cases flanking the map, therefore, there 
are installed life-size habitat groups of these tribes; the Apache 
family group of five figures on the left flank and the Zuni family 
group of eight figures on the right flank—all dressed in original cos- 
tumes from the National Museum collections. Landscapes typical 
of the country in which these tribes live are painted on the closed 
sides of the cases and form realistic backgrounds for the groups. 
These paintings were executed by Richmond I. Kelsey, of San Diego, 
Calif. A descriptive label for each group is mounted on the rear 
wall in the space between the map and exhibition case. A third 
label records briefly the Institution’s history and activities. 

The Exposition was still open at the close of the year and was 
expected to remain open at least until November 1935. 


EXPLORATIONS AND FIELD WORK 


Although still considerably hampered in its field operations by 
lack of funds, the Institution conducted or took part in 20 expedi- 
tions, 7 more than in the previous year. Secretary Abbot and his 
colleagues continued the study of the radiation of the sun, both at 
Washington and at the three field stations, Table Mountain, Calif., 
Mount Montezuma, Chile, and Mount St. Katherine, Egypt. Dr. 


REPORT OF THE SECRETARY 11 


W. F. Foshag collected minerals and studied mineral deposits in both 
northern and southern Mexico. Dr. C. Lewis Gazin directed an 
expedition to collect vertebrate fossils in the Snake River basin of 
Idaho. Dr. G. A. Cooper established a correlation of middle Devo- 
nian deposits in Ontario, New York, and Michigan. Dr. W. L. 
Schmitt again accompanied the Hancock expedition to the Gala- 
pagos Islands. Rev. David C. Graham continued his zoological col- 
lecting for the Institution in Szechwan, China. Dr. Hugh M. Smith 
collected birds, mammals, and other forms in various parts of Siam. 
Austin H. Clark collected butterflies in Bedford and Princess Anne 
Counties, Va., in continuation of his survey of the little-known butter- 
fly fauna of Virginia. Jason R. Swallen collected grasses in north- 
eastern Brazil, 

Dr. C. W. Bishop, director of the Freer Gallery Field Expedition 
to China, brought the work to a close in 1934 and returned to the 
United States. The work of the expedition occupied a period of over 
4 years and included the excavation of a number of archeological 
sites and an archeological reconnaissance of nearly the entire province 
of Shansi. Dr. Ale’ Hrdli¢ka continued his archeological investiga- 
tions on Kodiak Island, Alaska, unearthing much new evidence on 
the identity of the ancient inhabitants of the site. H. W. Krieger, 
through an allotment of P. W. A. funds, excavated archeological 
sites in Oregon in the area that will be flooded with the completion 
of the Bonneville Dam. M. W. Stirling supervised several archeo- 
logical projects in Florida conducted in cooperation with the Federal 
Emergency Relief Administration. Dr. F. H. H. Roberts, Jr., ex- 
cavated a camp site and workshop in Colorado attributable to Folsom 
man, bringing to light for the first time a variety of implements 
belonging to that early horizon. Dr. Roberts also excavated an 
extensive Indian site on the former battlefield at Shiloh National 
Military Park, Tenn. Dr. W. D. Strong conducted archeological 
excavations at Buena Vista Lake, Calif., and later made a brief 
archeological reconnaissance of the Cuyama Valley and also of the 
mountainous district adjacent to the Sisquoc River. W. M. Walker 
excavated ancient Yokuts shellmounds near Taft, Calif. Dr. J. R. 
Swanton was successful in further determining points on the route 
followed by Hernando De Soto in 1540 through Georgia and part 
of South Carolina. Dr. J. P. Harrington conducted ethnological 
studies among the Indians of California. Dr. Truman Michelson 
studied the Passamaquoddy Indians on the State reservation on the 
coast of Maine. 

These expeditions are briefly described and illustrated in the 
pamphlet entitled ‘“ Explorations and Field-Work of the Smithson- 
ian Institution in 1934”, Smithsonian publication no. 3300. 


12 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


PUBLICATIONS 


Again this past year the drastic curtailment of printing funds 
for the Government bureaus under the Institution has vitally affected 
the work of those bureaus. The scientific series normally published 
by the National Museum and by the Bureau of American Ethnology 
have again been virtually suspended. During the emergency period 
of the depression, when ordinary governmental expenditures were 
greatly reduced, the brunt of the cut in Smithsonian appropriations 
was borne by the printing fund, as only there could a saving be made 
without throwing employees out of work. For 3 years the printing 
appropriation has been reduced to a point where it is possible only 
to do routine printing of blank forms and reports and a few very 
small pamphlets, with the result that there is now on hand an ac- 
cumulation of valuable manuscripts, many of them representing the 
results of years of research by the Institution’s specialists. This 
basic information in biology, geology, and anthropology should with- 
out further delay be made available to students and research workers, 
and it is the hope of the Institution that, now the peak of the de- 
pression is past, adequate funds will again be made available so that 
a normal flow of scientific publications may again issue from this 
Institution, whose very purpose, as incorporated by act of Congress, 
is “the increase and diffusion of knowledge among men.” 

The publications issued during the year, paid for mostly from 
the private funds of the Institution, totaled 64; 54 of these were pub- 
lished by the Institution proper, 8 by the National Museum, 1 by the 
Bureau of American Ethnology, and 1 by the Freer Gallery of Art. 
The number of publications distributed was 124,186. 


LIBRARY 


The accessions to the Smithsonian library during the year num- 
bered 6,105 volumes and 6,578 pamphlets and charts, bringing the 
total number of items in the library to 848,517. Most of the addi- 
tions were exchanges for Smithsonian publications, but there were 
also the usual large number of gifts from organizations and indi- 
viduals. In addition to the routine work of the library, the staff 
completed several important projects begun last year, with the as- 
sistance of F. E. R. A. workers assigned to the library; these proj- 
ects included sorting and arranging foreign scientific and technical 
duplicates in the west stacks of the Smithsonian building, and sorting 
and reassigning the contents of the sectional libraries of administra- 
tion and engineering. 

Respectfully submitted. 

C. G. Aspor, Secretary. 


APPENDIX 1 
REPORT ON THE UNITED STATES NATIONAL MUSEUM 


Sir: I have the honor to submit the following report on the 
condition and operation of the United States National Museum for 
the fiscal year ended June 30, 1935: 

Appropriations for the maintenance of the National Museum for 
the year totaled $716,071, which was $61,200 more than for 1934. 


COLLECTIONS 


Material added to the collections during the year came in 1,794 
separate accessions, mostly as gifts from outside individuals and 
organizations, and was varied and representative in character. It 
totaled 296,468 specimens, divided as follows: Anthropology, 3,758; 
biology, 258,692; geology, 28,528; arts and industries, 3,808; history, 
1,682. Gifts to schools and other educational institutions numbered 
4,039 specimens. Exchanges of duplicate material with other insti- 
tutions and individuals totaled 17,194 specimens, and 17,783 specimens 
were lent to workers outside of Washington. 

Following is a summary of the more important accessions received 
in the various departments: 

Anthropology—American ethnological material received from va- 
rious sources represented the Point Barrow Eskimos, the Haida 
Indians of British Columbia and Alaska, the Navaho, the 'Tarahu- 
mare Indians of Mexico, the Delaware, Osage, Plains, Pueblo, and 
Yakima Indians of North America, and the San Blas Indians of 
Panama. From Matto Grosso, Brazil, came a number of weapons 
of the fierce Parintintin Indians, and from the head-hunting Jivaro 
of Ecuador a collection of textiles and adornments received through 
the Bureau of American Ethnology. Specimens came also from 
Africa, Oceania, and Malaysia. As in former years, ethnological 
material presented by Dr. Hugh M. Smith, fisheries adviser to the 
Royal Siamese Government, was extensive. 

Among the noteworthy archeological material received was a 
plaster cast, presented by the Carnegie Institution of Washington, 
of the elaborately carved surface of a Maya altar at Quirigua, 
Guatemala, regarded as one of the finest examples of aboriginal 


13 


14 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


sculpture recovered from the Maya area. By transfer from the 
Bureau of American Ethnology came over 300 specimens collected 
by Dr. W. D. Strong from the Bay Islands and from the mainland 
of Spanish Honduras. Also may be mentioned 214 flint objects 
from a Paleolithic deposit in Mugharet et-Tabun (Cave of the 
Oven), near Mount Carmel, Palestine, deposited by the Archeologi- 
cal Society of Washington; 1,188 stone artifacts, basketry frag- 
ments, and other material collected by Frank M. Setzler from 2 
caves in Val Verde County, Tex.; 3 terra-cotta cones from Ur of the 
Chaldees, Iraq, bearing inscriptions that date them about 2075 B. C., 
given by the Bruce Hughes fund; 52 stone implements from South 
Africa, donated by W. C. Abbott, of Cape Town; and earthenware 
vessels from Panama, ivory and bone harpoon heads from St. Law- 
rence Island, Alaska, and Paleolithic implements from the Thames 
Valley, England. 

Skeletal material received came from Florida, California, and 
North Carolina, and from Kodiak Island, Alaska, collected by Dr. 
AleS Hrdlicka. Skeletons collected by Frank M. Setzler, though 
few in number, were important because of the new type and area 
represented. 

Biology.—A special feature of this year’s biological accretions was 
the large number of genera and species new to the collections. Much 
invaluable type material also was received. Many rare species of 
mammals and birds from Siam and China came from Dr. Hugh M. 
Smith and Dr. D. C. Graham, respectively, who contributed from 
these countries also considerable collections of reptiles and amphib- 
ians, fishes, insects, mollusks, marine invertebrates, and plants. 
Among the forms now represented for the first time were the Saiga 
antelope from the Kalmuk Steppes of South Russia (of which the 
Museum formerly had only a skeleton), a sloth (Scaeopus) and a 
monkey (Brachyteles) from South America, a porpoise taken on 
the third Hancock Galapagos expedition, 15 genera of birds, and a 
number of species of West Indian beetles. Other noteworthy acces- 
sions include: A large collection of Brazilian reptiles, amphibians, 
fishes, insects, and mollusks made by Dr. Doris Cochran; over 3,000 
fishes comprising the private collection of Dr. G. S. Myers; 2,400 
Florida fishes collected by C. R. Aschmeier; a collection of South 
American Homoptera made by the late Dr. F. W. Goding; a collec- 
tion of Oriental insects made by T. R. Gardner; the J. E. Guthrie 
collection of Collembola; 3,000 New England insects, mostly Ho- 
moptera, from P. W. Oman; a valuable series of invertebrates col- 
lected under the auspices of the late C. C. Nutting, of the University 
of Iowa; crustaceans and other forms collected by Dr. W. L. Schmitt 
on the third Hancock expedition to the Galapagos Islands; about 


REPORT OF THE SECRETARY 15 


30,000 mollusks, chiefly European, from Dr. H. R. K. Agersborg; 
and nearly 50,000 specimens of plants from many sources, repre- 
senting a wide variety of localities. 

Geology.—To the Canfield collection were added 174 mineral spec- 
imens, including a rich mass of North Carolina uraninite showing 
crystals and weighing over 5 pounds, obtained through the interest 
of Dr. H. P. Barret. Through the income of the Roebling fund 393 
mineral specimens were added, of special interest being a collection 
of minerals from pegmatitic pockets in the granite area of Striegau, 
Germany, and the material resulting from Dr. W. F. Foshag’s field 
work in Mexico under the auspices of the fund. Many of the 
Museum’s friends contributed valuable mineral specimens, many of 
them from Mexico. Species of minerals new to the Museum include 
ahlfeldite, blockite, kolbeckine, and selenolite from Bolivia; aglau- 
rite from Czechoslovakia; igalikite, metejarlite, and naujakasite 
from Greenland; johannsenite from Mexico; repossite from Italy; 
and sahlinite from Sweden. Dr. Eugene Poitevin presented a speci- 
men of his new mineral ashtonite. 

The increase in the meteorite collection was especially notable, 25 
new falls being added, bringing to 592 the total number of distinct 
meteoric falls now represented. 

About 500 rock specimens were added to the Henry S. Washington 
petrographic series. Accession of ores was of increased importance, 
several mining companies as well as individuals donating valuable 
samples. From the United States Geological Survey a collection of 
described material was received illustrating the petrology of the 
Louisiana and Texas cap-rocks. 

The outstanding gift of the year in invertebrate paleontology was 
the Hurlburt collection of Lower Paleozoic fossils, especially rich in 
rare New York Ordovician trilobites, crinoids, cystids, and mollusks. 
This collection was presented by Edward N. Hurlburt, of Rochester, 
N. Y., as a memorial to his father, who assembled it in the early days 
of American paleontology. Nine gifts furnished fossils from coun- 
tries beyond North America, which are especially valuable for com- 
parative purposes. About 30,000 Devonian and other Paleozoic 
fossils were collected for the Museum by Dr. G. A. Cooper in Mich- 
igan, Ontario, and New York, and (with R. D. Mesler) about 10,000 
fossils in Virginia, Tennessee, and Arkansas. 

Materials resulting from the field expedition to Idaho under Dr. 
C. L. Gazin are of first importance in vertebrate paleontology. Fos- 
sil remains of the extinct horse Plesippus shoshonensis formed the 
bulk of the collections. An excellent skeleton of the sauropod dino- 
saur Camarasaurus was obtained through exchange with the Car- 
negie Museum of Pittsburgh. 


16 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Arts and industries—The outstanding accession in aeronautics was 
the motorless sailplane Falcon, built in 1934 for the late Warren 
Eaton, which well illustrates modern progress in aerodynamic ef- 
ficiency. It was presented by Mrs. Genevieve J. Eaton. The May- 
bach Motor Co. presented a Maybach engine, type VI-2, like that 
used in the Graf Zeppelin and other recent airships. Other aero- 
nautic material received included the magnetic compass used by 
Admiral Byrd in his 1926 North Pole flight, 13 excellent scale models 
of aircraft, and a series of aluminum alloy fittings and airship 
girders. 

In mechanical technology, models of watercraft figured in the ac- 
cessions, the most important being the original models of the schooner 
James S. Steele and the knockabout Helen B. Thomas, designed by 
Capt. Thomas F. McManus. 

The automobile collection was enhanced by the gift of William K. 
Vanderbilt of the cup presented to the winner of the first Vanderbilt 
Cup Race 30 years ago. One railroad accession was received—a 
model of the locomotive DeWitt Clinton and train, the first loco- 
motive to run in the State of New York. 

One hundred and eight specimens of new textile fabrics, illustrat- 
ing new weaves and combinations; 31 dioramas showing the history 
of medicine-making; and a complete Mergenthaler linotype (no. 9) 
were among other outstanding accessions. 

History.—Over 1,600 articles of historical and antiquarian import 
were received, many falling within the military and naval categories. 
The numismatic collection was increased by 186 coins and the phila- 
telic series by 1,314 stamps. 


EXPLORATIONS AND FIELD WORK 


Field work carried on during the year was financed mainly 
through grants from the invested funds of the Smithsonian Insti- 
tution, with some additional assistance from such outside sources 
as the P. W. A. and interested friends. 

Anthropology.—tiIn December, Herbert W. Krieger, curator of 
ethnology, brought to a close the archeological work commenced last 
year in the Columbia River Valley. Search for new light on early 
Virginia tribal life was made by Mr. Krieger and H. B. Collins, Jr. 
in field studies made at Indian village sites along the lower Potomac 
River and elsewhere in the State. 

Frank M. Setzler, assistant curator of archeology, late in 1934, 
accompanied Dr. John R. Swanton in a trip by automobile through 
Virginia, North Carolina, South Carolina, Georgia, and Florida, to 
seek information concerning the route traveled by Hernando De 
Soto in 1539 and 1540 and to examine vestiges of certain Indian vil- 
lages mentioned by the chroniclers of the De Soto expedition. 


REPORT OF THE SECRETARY 17 


Dr. AleS Hrdli¢ka, curator of physical anthropology, with a group 
of five students, continued his archeological work on Kodiak Island, 
Alaska, which has been in progress intermittently since 1932. 

Biology.—Dr. Waldo L. Schmitt, curator of marine invertebrates, 
by invitation participated again in Capt. G. Allan Hancock’s expe- 
dition to the Galapagos Islands on the yacht Velero JI, and brought 
back several thousand natural-history specimens. 

Dr. Doris M. Cochran, assistant curator of reptiles and am- 
phibians, under a grant from the Smithsonian Institution, was de- 
tailed to Brazil to study Brazilian amphibians. She returned early 
in June with many thousand specimens, including not only am- 
phibians and reptiles but also representing several other branches of 
zoology. 

Gerrit S. Miller, Jr., curator of mammals, spent several weeks study- 
ing the fauna of the outlying keys of southern Florida and made 
extensive collections there of mammals, reptiles, and other forms. 

Dr. Hugh M. Smith, honorary associate curator of zoology, who 
for many years has represented the Museum in explorations in Siam, 
returned to Washington and brought with him large collections that 
added greatly to the Museum’s Siamese material. Dr. D. C. 
Graham, honorary collaborator in biology, from his headquarters at 
Chengtu, China, continued to send valued specimens resulting from 
his excursions in the Chinese province of Szechwan. 

Jason R. Swallen, Department of Agriculture botanist, brought to 
a close a successful period of exploration for grasses in Brazil and 
obtained about 8,000 specimens. Another piece of field work con- 
cluded was that of Dr. Alan Mozley, working under the Walter 
Rathbone Bacon traveling scholarship in a study of Siberian mol- 
lusks. Also may be mentioned local work by members of the Mu- 
seum staff on a study of the biota of Maryland and Virginia: Dr. 
G. S. Myers and E. D. Reid studied and collected fresh-water fishes 
from this area; Dr. Paul Bartsch made extensive collections of mol- 
lusks, amphibians, and birds with reference to the District of Colum- 
bia fauna; and Austin H. Clark studied Virginia butterflies, visit- 
ing 54 counties of the State. 

Prof. C. E. Burt, of Southwestern College, under a grant from the 
Smithsonian, worked in Mississippi, Louisiana, and Texas collecting 
a series of turtles for the Museum. 

Geology—C. W. Gilmore, curator of vertebrate paleontology, near 
the close of the year left for Montana to take charge of an expedi- 
tion into the Judith River (Upper Cretaceous) of that State, where 
a search was to be made for dinosaur material. 

The expedition under the direction of Dr. C. L. Gazin, assistant 
curator of vertebrate paleontology, at the fossil quarries near Hager- 
man, Idaho, was gratifyingly successful, the material acquired nearly 


18 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


equaling the previous combined collections from the same locality. 
Fossil remains of the horse Plestppus formed the bulk of the 
material. 

Dr. W. F. Foshag, curator of mineralogy, spent 4 months in Mex- 
ico collecting minerals under the auspices of the Roebling fund, 
visiting important mining districts in the Sierra Madres of western 
Chihuahua and vicinity and in southern Mexico. 

E. P. Henderson, assistant curator of mineralogy, investigated 
reports of meteorites and collected minerals in Arkansas, Kansas, 
and Virginia. 

Dr. G. A. Cooper, assistant curator of stratigraphic paleontology, 
with a group of Geological Survey geologists, studied the region 
near Phillipsburg, Quebec, and collected many fossils. He also vis- 
ited the lower peninsula of Michigan, to study the Devonian strata 
near Alpena, as well as southwestern Ontario, northwestern Ohio, 
and western New York. Also, with R. D. Mesler, of the Geological 
Survey, he collected fossils at Batesville, Ark. 


MISCELLANEOUS 


Visitors —Visitors during the year to the various Museum build- 
ings totaled 1,841,306, an increase of 377,931 over the previous year. 
The annual attendance in the several buildings was recorded as 
follows: Smithsonian Building, 307,240; Arts and Industries Build- 
ing, 798,535; Natural History Building, 606,145; Aircraft Building, 
129,386. During April 1935 there were 307,739 visitors, the largest 
number ever recorded for a single month. 

Publications —On account of the greatly curtailed allotments for 
printing, the publication output of the Museum was small. Only 
8 papers were issued during the year, including the annual report 
for 1934 and 7 Proceedings papers. These are listed elsewhere in 
this report. Volumes and separates distributed during the year to 
libraries and individuals throughout the world aggregated 26,592 
copies. 

Work was continued, under the supervision of the Museum editor, 
on the preparation of the index to Museum publications started last 
year. 

Special exhibits—Seventeen special exhibits were held during the 
year, under the auspices of various educational, scientific, and Gov- 
ernment agencies, including, among others, the American Forestry 
Association, the Potomac Rose Society, the District of Columbia 
Dental Society, the American Society of Photogrammetry, the Pub- 
lic Works Administration, and the Commission of Fine Arts. 

Changes in organization and staff—Dr. Edward A. Chapin, of 
the United States Bureau of Entomology and Plant Quarantine, 


REPORT OF THE SECRETARY 19 


was appointed on July 1, 1934, to succeed the late Dr. John M. 
Aldrich as curator of the division of insects. In the division of 
mollusks, Dr. Joseph P. E, Morrison was appointed senior scientific 
aid on August 2. A realignment of work in the division of graphic 
arts resulted in the permanent appointment on May 20, 1935, of 
C. Allen Sherwin as scientific aid. Miss Mary E. Dillingham was 
appointed junior scientific aid in the division of textiles on October 
15, 1934. 

Three Museum employees were transferred from the active to the 
retired list, as follows: Philip N. Wisner, assistant clerk, on No- 
vember 30, 1934, through disability; Mrs. Amelia Turner, under pho- 
tographer, on June 30, 1935, through section 8 (a) of the Economy 
Act; and Mrs. Rachel Turner, charwoman, on August 31, 1934, 
through age. 

Necrology—The Museum lost through death 2 of its honorary 
staff members and 7 of its active workers, as follows: Dr. Albert 
Mann, honorary custodian of diatoms since January 8, 1913, who 
died on February 1, 1935; Dr. David White, honorary associate cura- 
tor of paleobotany since May 23, 1905, who died February 7, 1935; 
Peter Hanson, machinist, who died on March 6, 1935; Frank W. 
Mullen, electrician’s helper, on February 18, 1935; Michael Colohan, 
John J. Gallagher, and Harrison M. Kinnison, guards, on July 11, 
1934, December 9, 1934, and June 4, 1935, respectively; Mrs. Marie 
Ellis, charwoman, on March 29, 1935; and Mrs. Lula Bryant, attend- 
ant, on April 16, 1935, 

Respectfully submitted. 

ALEXANDER WETMORE, 
Assistant Secretary. 
Dr. Cartes G. ABgor, 


Secretary, Smithsonian Institution. 


36923—36——3 


APPENDIX 2 
REPORT ON THE NATIONAL GALLERY OF ART 


Smr: I have the honor to submit the following report on the activ- 
ities of the National Gallery of Art for the fiscal year ended June 
30, 1935: 

In the past 12 months several events have taken place which may 
have a bearing on the future of the National Gallery of Art, and 
so it will be of interest to record them here. 

The press has reported that the Mellon Foundation may locate in 
Washington a gallery of art to house the Mellon collection of paint- 
ings as well as other masterpieces. The details of the foundation and 
its relation to the National Gallery of Art have not been definitely 
decided. 

Senator David I. Walsh, of Massachusetts, introduced into the 
Senate a bill which may lead to the formation of a National Portrait 
Gallery under the direction of the Smithsonian Institution. 

Representative William I, Sirovich, of New York, Chairman of the 
Committee on Patents, held extensive hearings on House Joint Reso- 
lution No. 220, which relates to the proposed formation of a new 
Government department to be called the “Department of Science, 
Art, and Literature.” 

The Government has placed artists in the Civilian Conservation 
Corps camps to record their activities. It has also awarded many 
contracts for the decoration of Government buildings throughout 
the United States. 

These events show that there is a widespread interest in art in our 
country and raise the hope that the Government will sooner or later 
provide a building where the works of art in its possession can be 
properly shown. Collectors as a rule want their treasures in some 
permanent museum, and would be attracted by the high standing of a 
national gallery comparable to those of the European countries. Sel- 
dom are collectors able to do as did Mr, Freer—furnish the material, 
the building, and also the money for its upkeep, so that the Freer 
Gallery is an almost independent unit under the direction of the 
Smithsonian Institution. Many collectors, when they shall see a 
proper building for the National Gallery of Art, and the material in 
it properly cared for, will feel that they have found the most suitable 
place to give their collections. But without a building, with no room 
to expand, our collections must stand still. 

20 


REPORT OF THE SECRETARY 21 


APPROPRIATIONS 


For the administration of the National Gallery of Art by the 
Smithsonian Institution, including compensation of necessary em- 
ployees, purchase of books of reference and periodicals, traveling 
expenses, uniforms for guards, and necessary incidental expenses, 
$32,768 was appropriated. 


THE NATIONAL GALLERY OF ART COMMISSION 


The fourteenth annual meeting of the National Gallery of Art 
Commission was held at the Smithsonian Institution on December 11, 
1934. The members present were: Dr. Charles G. Abbot, secretary 
of the Smithsonian Institution, who is ex-officio member and also 
the secretary of the Commission; Frank Jewett Mather, Jr., vice 
chairman; Herbert Adams; Gifford Beal; Charles L. Borie, Jr.; 
James E. Fraser; Frederick P. Keppel; John E. Lodge; George B. 
McClellan; Charles Moore; Edmund C. Tarbell; and Mahonri M. 
Young. Ruel P. Tolman, curator of the division of graphic arts in 
the United States National Museum and acting director of the 
National Gallery of Art, was also present. 

The Commission recommended to the Board of Regents the re- 
election for the succeeding term of 4 years of the following members: 
Herbert Adams, Gifford Beal, and Charles Moore. 

The following officers were re-elected for the ensuing year: Joseph 
H. Gest, chairman; Frank Jewett Mather, Jr., vice chairman; and 
Dr. Charles G. Abbot, secretary; as well as the members of the 
executive committee: Charles Moore, Herbert Adams, and George B. 
McClellan. Joseph H. Gest, as chairman of the Commission, and 
Dr. Charles G. Abbot, as secretary of the Commission, are ex-officio 
members, 

The following resolution was adopted as an expression of the Com- 
mission’s general policy in connection with gifts or bequests offered 
with certain undesirable restrictions: 

Resolved, That it is the recommendation of the National Gallery of Art 
Commission that the Smithsonian Institution do not in general accept for the 
National Gallery of Art gifts or bequests of miscellaneous collections of objects 
of art when a condition is attached thereto that the objects must be exhibited 
in perpetuity. 

[Joseph H. Gest, chairman of the National Gallery of Art Commis- 
sion, died on June 26, 1935, at Cincinnati, Ohio. | 


ART WORKS RECEIVED DURING THE YEAR 


Accessions of art works by the Smithsonian Institution are as 
follows: 

Two portraits by George Peter Alexander Healy (1808-1894), of 
Gen. William Tecumseh Sherman, 1866, Regent of the Smithsonian 


22 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Institution in 1871 and 1878; and of Mrs. William Tecumseh Sher- 
man (Ellen Boyle Ewing Sherman), 1868. Presented by their son, 
P. Tecumseh Sherman, of New York, N. Y. (Accepted for the 
National Portrait Gallery.) 

Two portraits by Jean Joseph Benjamin-Constant (1845-1902), 
of the Honorable John B. Henderson, Regent of the Institution 
from 1892-1911, and of Mrs. Henderson (Mary Newton Foote Hen- 
derson). Gift of the heirs of Mrs. Mary F. Henderson through Dr. 
Charles Moore. 

Three paintings by Georg Ernst Fischer (1815-1874): “Amer- 
ican Country Life, about 1860”, “ Cupids”, “Gratitude”, and a 
plaque of Francis Davis Millet (1846-1912) at the age of 32, dated 
Paris, March 1879, by Augustus Saint Gaudens. Gift of Ernst G. 
Fischer, of Washington, D, C. 

Portrait of His Majesty King George V of Great Britain, by 
Frank O. Salisbury. Presented to President Frankln Delano 

Roosevelt for the American Nation by the artist in commemoration 
of the valiant service rendered by the Republic of the United States 
of America and the British Empire in behalf of justice and peace, 
May 6, 1935. Jubilee Year. Accepted by President Roosevelt at 
special presentation exercises, July 11, 1935, at the White House. 

A peachblow vase, product of the K’Ang-hsi period, presented to 
the Government of the United States for the National Museum by 
the Imperial Chinese Government in 1908, was transferred by the 
Museum to the National Gallery of Art. 


THE CATHERINE WALDEN MYER FUND 


Two Early American miniatures were acquired from the fund 
established through the bequest of the late Catherine Walden Myer— 
a fund for the purchase of first-class works of art for the use and 
benefit of the National Gallery of Art, as follows: 

“ Portrait of Jane Stone ”, by Benjamin Trott (about 1770-1839) ; 
from Miss Marion Lane, of Washington, D. C. 

“ Portrait of Judge Thomas Waties ” (born in Georgetown, S. C., 
in 1760), by Charles Fraser (1782-1860); from Miss Marie R. 
Waties, of Washington, D. C. (A loan from Miss Waties during 
the last fiscal year.) 


LOANS ACCEPTED BY THE GALLERY 


Portraits by Henry Inman (1801-1846) of Col. Robert Charles 
Wetmore and of his wife, Adeline Geer Wetmore, bequeathed to 
the United States National Museum by Florence Adele Wetmore, 


REPORT OF THE SECRETARY 23 


late of New London, Conn. Lent by the United States National 
Museum. 

A pair of Meissen vases, 2314 inches high. Lent by Mr. and Mrs. 
J. D. Patten, of Du Bois, Pa. 

Three small bronzes by A. L. Barye (1796-1875), as follows: 
“ Panther Surprising Civet Cat ”, “ Stork on Tortoise ”, and “ Seated 
Hare.” Lent by Leonard C. Gunnell, of the Smithsonian Institution. 

Two pastel portraits in profile by James Sharples (about 1751- 
1811), of Gen. George Washington and of Martha Washington. These 
were the property of Washington and hung originally in Mount 
Vernon. Lent by Mrs. Robert E. Lee, of Washington, D. C., Dr. 
George Bolling Lee, of New York, N. Y., Mrs. Hanson E. Ely, Jr., 
of Washington, D. C., and Mrs. William Hunter de Butts, of 
Upperville, Va. 

Bronze group by Herbert Haseltine, 1920, entitled “ Wield Artil- 
lery.” Lent by the Honorable Robert Woods Bliss, Washington, 
D. C. 

An oil painting (one side of a diptych) by Gabrielle DeV. Clem- 
ents, entitled “An Angel.” Lent by the artist, and withdrawn by 
her before the close of the year. 

A collection of 8 miniatures, 2 silver snuff boxes, a watch, a 
mourning ring, and a portrait ring. “The Theodosia Lawrence 
Barnard Talcott Collection ”, lent by Miss Lucia B, Hollerith, of 
Washington, D. C. 

Six miniatures of the Shippen family as follows: Rebecca Lloyd 
(1785 or 1787), attributed to Richard Cosway (1740-1821); Jane 
Gray Wall, by John Francis Burrell, London (about 1800); Ann 
Hume Shippen, attributed to Benjamin Trott (about 1770-1839) ; 
Mrs. Thomas Lee Shippen, signed Bridport; Thomas Lee Shippen, 
by James Peale—signed I. P. and dated 1793; William Shippen, by 
James Peale—signed I. P. and dated 1794. Lent by Dr. Lloyd P 
Shippen, of Washington, D. C. 


GALLERY LOANS RETURNED 


The “ Portrait of Mrs. Price ”, by William Hogarth, lent to the Art 
Institute of Chicago for “A Century of Progress Loan Exhibition 
of Fine Arts”, from June 1 to October 31, 1934, was returned to 
the gallery on November 9, 1934. 

Sixteen bound volumes: “ Random Records of a Lifetime Devoted 
to Science and Art, 1846-1932”, by W. H. Holmes, consisting of 
letters, manuscripts, photographs, drawings, and sketches, compiled 
and presented to the National Gallery library by Dr. Holmes, but 
retained by him for additions when he retired from Government 
service, were returned by his family during the year. 


24 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


LOANS BY THE GALLERY TO OTHER INSTITUTIONS 


Five paintings by contemporary American artists, from the 
William T. Evans collection, were lent to the M. H. de Young 
Memorial Museum of San Francisco, Calif., for an important exhibi- 
tion of American paintings from the eighteenth century to the pres- 
ent day, held from June 7 to July 7, 1935, as follows: “Moonrise”, 
by Ralph Albert Blakelock; “September Afternoon”, by George 
Inness; “High Cliff, Coast of Maine”, by Winslow Homer; “Moon- 
light”, by Albert Pinkham Ryder; and “Caresse Enfantine”, by 
Mary Cassatt. (These paintings have been returned to the National 
Gallery.) 

Five portraits were lent to the Public Library of the District of 
Columbia for exhibition in the central library from June 18, 1935, 
for 6 months, as follows: “John Tyler”, by G, P. A. Healy; “A 
Lady”, by Gilbert Stuart; “Col. Robert Charles Wetmore”, by Henry 
Inman; “Andrew Jackson”, by Rembrandt Peale; and “Commo- 
dore Stephen Decatur”, by Gilbert Stuart. 


WITHDRAWALS BY OWNERS 


Seven pieces of Early English, Irish, and American silver, re- 
ceived as a loan on June 23, 1934, from Mrs. George Morris, Wash- 
ington, D. C., were withdrawn by the owner on October 10, 1934. 

The portrait of Thomas Amory, by Gilbert Stuart, formerly the 
property of Mrs. O. H. Ernst, was delivered at Mrs. Ernst’s direction 
on November 6, 1934, to her daughter, Mrs. William Grinnell, of 
New York, N. Y., the present owner. 


SPECIAL EXHIBITIONS 


Seven exhibitions were held in the foyer of the Natural History 
Building of the United States National Museum, as follows: 

July 6 to August 31, 1934—Water colors and black-and-white 
drawings (114) by Clayton Knight, made during a 20,000-mile jonr- 
ney by air over South America, the West Indies, and Central Amer- 
ica. Cards were issued by the Gallery, and a seven-page catalog 
furnished by the exhibitor. 

January 10 to 31, 1935.—Water-color studies (380) of Mexico and 
Massachusetts, made during the summers of 1934 and 1933, by Alex- 
ander Trowbridge. Cards were issued by the Gallery, and a folder- 
catalog supplied by the exhibitor. 

January 10 to 31, 1935.—Oil paintings (56) by Emil Jacques, in- 
structor in the art department of the University of Notre Dame, 
Indiana. Cards were issued by the Gallery and folder-catalogs sup- 
plied by the exhibitor. 


REPORT OF THE SECRETARY 25 


February 14 to March 15, 1935.—¥orty lithographs of Boulder 
Dam by William Woollett, architect. No catalogs were provided, 
each specimen being plainly labeled. 

April 4 to 30, 1935—Oil paintings and water colors by the Misses 
Elena and Bertha de Hellebranth, exhibited under the patronage of 
His Excellency the Minister of Hungary, John Pelenyi. Cards were 
issued by the Gallery and folder-catalogs furnished by the exhibitors. 

May 2 to 31, 1935.—Exhibition of pastel studies (65) of Egyptian 
peasant types, by Howard Fremont Stratton, under the patronage 
of His Excellency Ibrahim Ratib Bey, E. E. and M. P. of His 
Majesty the King of Egypt, and others. Cards were issued by the 
Gallery, but no catalogs were furnished, each specimen being plainly 
labeled. 

June 4 to 20, 1935.—Oil paintings, water colors, and drawings by 
artists enrolled in the Civilian Conservation Corps camps were shown 
under the direction of the Director of Emergency Conservation Work 
and members of his Advisory Council. 


THE NATIONAL GALLERY REFERENCE LIBRARY 


The library now comprises over 4,500 publications, accessions for 
the year amounting to 568, acquired by gift, exchange, and purchase. 
Books totaling 773, in addition to 1,162 parts of publications, were 
transferred from the section of administration of the United States 
National Museum to form part of the National Gallery Library when 
cataloged. 

SPECIAL ACTIVITIES 


The acting director visited various museums throughout the coun- 
try for the purpose of studying their collections as follows: 

A visit was made (July 27 to Aug. 24, 1934) to Philadelphia, 
Princeton, Newark, and to practically all the public art collections in 
New England, from New Haven, Conn., to Brunswick, Maine, to 
Burlington, Vt., and down the Connecticut Valley back to New 
Haven. 

A special exhibition of 50 paintings by Frans Hals was visited at 
the Detroit Institute of Art, Detroit, Mich., in February 1935. 

The opportunity was taken to visit and study the exhibition of 
miniatures, the product of the leading painters of the eighteenth and 
nineteenth centuries, shown at the Gibbes Memorial Art Gallery, 
Charleston, S. C., February and March 1935. 

Glass, and the making of glass, at the Corning Glass Works, 
Corning, N. Y., were studied in June 1935, in connection with the 
work of John Northwood, of which the National Gallery has a fine 
example in the John Gellatly Collection. 


26 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


PUBLICATIONS 


ToLMAN, R. P. Report on the National Gallery of Art for the year ending 
June 30, 1984. Appendix 2, Report of the Secretary of the Smithsonian 
Institution for the year ending June 30, 1934, pp. 23-28. 

The technique of Charles Fraser, miniaturist. Part I. Antiques, 
vol. 27, no. 1, pp. 19-21, 11 ills., Jan. 1985. Part II. Antiques, vol. 27, no. 2, 
pp. 60-62, 12 ills., Feb. 1985. 

Longer, J. E. Report on the Freer Gallery of Art for the year ending June 380, 
1934. Appendix 38, Report of the Secretary of the Smithsonian Institution for 
the year ending June 30, 1934, pp. 29-82. 

CatTaLog: Water colors and black and white drawings by Clayton Knight. Made 
during a 20,000-mile journey by air over South America, the West Indies, 
and Central America. July 6—Aug. 31, 1984. National Gallery of Art, Smith- 
sonian Institution. Washington, D. C., 7 pp. Privately printed. 

CaTALoG: Smithsonian Institution, National Gallery of Art, Washington. Ex- 
hibition of oil paintings by Emil Jacques. From Thursday, January 10 until 
Thursday, January 31, inclusive, 1935. 4-page leaflet, privately printed. 

CatTaLog: Water Color Studies of Mexico and Massachusetts made during the 
summers of 1934 and 1933 by Alexander Trowbridge. January 10 to January 
31, inclusive, 1935. National Gallery of Art, Smithsonian Institution, Wash- 
ington, D. C. Leaflet of 3 pp. Privately printed. 

CaTALoG: Exhibition of Paintings by Bertha de Hellebranth and Hlena de Helle- 
branth. Sponsored by His Excellency John Pelényi, the Minister of Hungary, 
at the United States National Museum, National Gallery of Art, Washington, 
D. C., April 4-30, 1935. 3-page leaflet, privately printed. 


Respectfully submitted. 


R. P. Totman, Acting Director. 
Dr. C. G. Axsor, 


Secretary, Smithsonian Institution. 


APPENDIX 3 
REPORT ON THE FREER GALLERY OF ART 


Sir: I have the honor to submit the fifteenth annual report on the 
Freer Gallery of Art, for the year ended June 30, 1935: 


THE COLLECTIONS 
Additions to the collections by purchase are as follows: 


BRONZE 


85.12. Chinese, Chou period. A ceremonial covered vessel of the type chia, 
with four legs and three handles. The surface is decorated with 
designs in delicate low relief; a bird finial on the cover. Green 
patina. Inscription inside. Height, 0.407 over all. (Illustrated.) 

30.6. Chinese, T‘ang period. A miniature mirror with scalloped edge, its back 
inlaid with sheet gold having concentric designs of running animals, 
6-petaled rosettes, and a scroll pattern executed, respectively, in high, 
medium, and low relief. Diameter, 0.055. 

385.18. Chinese, Han or earlier. A mirror, with a glossy mottled black and 
gray patina and malachite encrustations. Decoration: A landscape 
with groups of people and animals in a sharply cut low relief repeated 
four times; ornamented knob. Diameter, 0.184. (Illustrated.) 

35.14. Chinese, Han or earlier. A mirror (one repair) with a glossy black 
patina and patches of azurite. Decoration: A scroll pattern on a bed 
of fret work, in sharply cut relief. Diameter, 0.233. (Illustrated.) 


CERAMICS 


34.22. Chinese, T‘ang dynasty. Mortuary pottery: A long-necked flask; the 
belly decorated with an incised design of lotus flowers and foliage, the 
whole glazed with green, yellow, and cream color; the surface now 
largely iridescent. 0.252 by 0.136. 

35.3. hinese, Sung dynasty. Lung-ch‘iian yao: A tea bowl, covered with 

a lustrous celadon glaze. 0.052 by 0.1388. 

35.4. Chinese, Sung dynasty. Kwan yao: A round covered box with a celadon 

glaze of brilliant luster. Decoration: A floral design in relief under 
the glaze. 0.028 by 0.0938. 

35.5. Chinese, Ming dynasty. A pottery bowl glazed in brilliant blue; deco- 
rated with incised line drawing under the glaze. Mark, Chéng Té 
(1506-1521). 0.056 by 0.117. 


GLASS 


35.15-35.16. Syrian (Christian), late fourth century. A pair of altar cruets, 
each one 6-sided with trefoil lip and hollow handle. Dark 
brown, translucent blown glass with areas of partial disintegra- 
tion appearing in cream-colored flecking and brilliant iridescence. 
Decoration: Early Christian symbols in counter-sunk relief. 
0.162 by 0.094; 0.157 by 0.101. 
PAu 


98 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


JADE 


85.7. Chinese, Chou period. A badge of rank of the type kuei. Color: Deep 
cream and soft light brown, with a few streaks of darker brown. 
0.175 by 0.040 by 0.012. 


MANUSCRIPTS 


84.24-34.28. Arabic (North Africa), twelfth century. Bound volume of a por- 
tion of the Qua‘dn; parchment. Written in maghribi script in 
dark brown ink; orthographical signs in red, blue, and yellow; 
illuminated lectionary marks. Four pages illuminated in gold 
(34.25-34.28). 0.165 by 0.115. 
35.18. Persian, sixteenth century (A. D. 1546). Bound book; Giy u-Chawgdan 
(The Ball and the Polo-mallet) by Arifi of Herat; calligrapher, Shih 
Mahmiid Nishapiri. Text in nasta‘liq script. Two illustrations (see 
below under Paintings: 35.19, 35.20). 


PAINTINGS 


35.8. Chinese, Sung period. Women bathing and dressing children: An 
album picture. Painted in full color on a fan-shaped piece of silk; 
10 seals on the painting. 0.227 by 0.244. (Illustrated.) 

35.9. Chinese, Sung period. Two women with attendants: An album picture. 
Painted in full color on a fan-shaped piece of silk; 11 seals on the 
painting. 0.227 by 0.244. (Ilustrated.) 

35.10. Chinese, twelfth-thirteenth century. Sung period. By Yen Tz‘i-yii. 
Landscape: An album picture. Painted in ink and tint on silk. 
Signature and 10 seals on the painting. 0.253 by 0.258. (Illustrated.) 

35.11. Chinese, tenth-eleventh century. Sung period. Tun-huang_ type. 
Ksitigarbha (Ti-tsang) and one of the Ten Kings of Hell. In the 
lower register, Vajrasattva and a donor. Painted in full color on 

silk. 1.064 by 0.582. (Illustrated.) 

35.17. Chinese, Sung period. By Mi Yu-jén (1086-1165). ‘“ Wooded hills and 
autumn mists.” Painted in ink monochrome. ‘Title, signature, and 
14 seals on the painting. Paper makimono, 0.23 by 2.319. 

30.2. Indian, A. D. 1600, or earlier. Rajput, Rajasthani. Krisna and Radha. 
Painted on paper in solid colors and slight gold. 0.205 by 0.157. 
(Illustrated. ) 

35.19-35.20. Persian, sixteenth century (A. D. 1546). Safawid period. Two 

illustrations from the manuscript book of Giy u-Chawgdn 
(35.18; see above). Painted in colors and gold on paper: 

(a) A polo game, 0.194 by 0.123. (Illustrated.) 

(b) Scene in a polo field, 0.195 by 0.128. (Illustrated.) 


SILVER 


34.23. Persian, fourth century. Sdsinian period. A memorial plate, deco- 
rated with the figure of Sapor II (A. D. 809-3880) on horseback hunt- 
ing wild boar, executed in applied hollow relief, gilded. Diameter, 
0.24. (Illustrated.) 


WOOD-CARVING 


85.1. Arabic (Persia), late eleventh century. Seldjuk period. One leaf of a 
double door (repaired; four patches). Decoration consisting of in- 
scriptions in ornamented kific script, cut in counter-sunk relief to a 
depth of 0.019. 1.440 by 0.483 by 0.05. (Illustrated.) 


Secretary's Report 1935.—Appendix 3 PLATE 1 


SOME RECENT ADDITIONS TO THE COLLECTION OF THE FREER GALLERY OF ART 


Secretary's Report 1935.—Appendix 3 PEATE PZ 


35.12 


SOME RECENT ADDITIONS TO THE COLLECTION OF THE FREER GALLERY OF ART. 


———— 


REPORT OF THE SECRETARY 29 


Curatorial work within the collection has been devoted to the 
study of Chinese, Japanese, Armenian, Arabic, and Persian objects, 
and of the texts and seals associated with them, including those newly 
acquired ; also to the examination of objects submitted to the curator 
by other institutions or by private owners for an opinion as to their. 
identity, their meaning, or their historic or esthetic value. A total 
of 1,268 objects and 153 photographs of objects were examined in 
this way and written or oral reports were made upon them. Also, 
14 texts were submitted for translation. 

Changes in exhibition have involved a total of 190 subjects, as 
follows: 


Book-bindinges@e2 == 22 os ee Gr Paintings. sapanese= ssa eee 18 
iBronzes) Chinese 222-22 Bet a He eaimtines we eersiane ae a eee 9 
CHESS NV rlan eo Oe a a Me peotlery-Chinesem == ea ees 19 
MANUSCHIp (Ss = ee AS Shi@Pocteryaseersiana === ae 15 
Paingines eAMmerican 22 =e n= (hdl Slbyerew Bersih yes oe ee 1 

aintiness/Chineses 2 ke 6 | Stone sculpture, Chinese__--__-__ 4 
at eS Te ee 6 | Wood-carving, Persian ___________ 1 


The special exhibition of Whistler’s work installed on May 14, 
1934, in honor of the Whistler Centenary, was taken down on 
December 26. 

ATTENDANCE 


The Gallery has been open every day from 9 until 4:30 o’clock, 
with the exception of Mondays, Christmas Day, and New Year’s 
Day. 

The total attendance of visitors coming in at the main entrance was 
130,323. The total attendance for week days, exclusive of Mondays, 
was 86,754; for Sundays, 43,569. The average Sunday attendance 
was 837, the average week-day attendance 385, a ratio of 21% to 1. 
As always, the highest monthly attendance was reached in April 
(26,323) and August (13,296). The lowest monthly attendance was 
in December (5,576). 

The total attendance of visitors on Mondays, by the south entrance, 
was 23, making a grand total attendance of 130,346. 

There were 1,784 visitors to the offices during the year. The pur- 
poses of their visits were as follows: 


Met CenClal INI OVMNWON= =) — oe a ee ee eee 315 
TR GENCCHODCCES MITES LOL 2 Cee ee ee 304 
Vt LORS Ease POM 106 
Inj@tie TORS MMO NES 19 
ANTR@TAKORIN FORTIN TN GS 63 
Whi avis ey ICO OES f ee 6 
Oriental pottery, bronzes, sculptures, jades______--_-_---_-_----- 110 
Torexamine puildimoandeinstallation =e = ne ea ae a ears 36 
Cae) Teel: Seay Cai TL OE 260 


FEVER CWE I CSN a TCS CI Se ee ee eee 44 


30 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


To make tracings and sketches from library books________-_______________ 29 
To obtain permission to photograph or sketch._____--___________________ 10 
To vexamine vor PULchase PHOLOLT Ai See ee ee 3871 
TorsubmityObJECts Lor yxy Na El Oye ee eee 119 
To. Seen MeEMPELS OL - CSS Ce ih Sp ne a 234 


DOCENT SERVICE 


Seventy-eight groups ranging from 1 to 40 persons (total 447) 
were given docent service in the exhibition galleries upon request 
(of these, 6 groups totaling 11 persons, on Mondays). Sixteen groups 
ranging from 11 to 18 persons (total 221) were given instruction in 
Chinese arts in the study rooms. 


AUDITORIUM 


The following groups have held meetings in the Auditorium: 


October 27, 19384: Teachers of art in the Publie Schools of the District of 
Columbia, and students. Attendance 200. 

May 24, 19385: The technical section of the American Association of Museums. 
Attendance 15. 


PERSON NEL 


Mr. and Mrs. Carl W. Bishop returned to the Gallery on Novem- 
ber 7, 1934. 

Grace T. Whitney worked intermittently at the Gallery between 
October 10, 1934, and June 24, 1935, on translation of Arabic and 
Persian texts. 

Grace Aasen Parler, librarian, was permanently transferred from 
the Smithsonian Library to the Freer Gallery Library on January 1, 
1935. 

Walter McCree, laborer, was permanently appointed to succeed 
John Pinkney, July 1, 1934. 

Respectfully submitted. 

J. E. Lopez, Curator. 

Dr. C. G. Aszor, 

Secretary, Smithsonian Institution. 


APPENDIX 4 
REPORT ON THE BUREAU OF AMERICAN ETHNOLOGY 


Sir: I have the honor to submit the following report on the field 
researches, office work, and other operations of the Bureau of Ameri- 
can Ethnology during the fiscal year ended June 30, 1935, conducted 
in accordance with the act of Congress of March 28, 1934. The act 
referred to contains the following item: 

American ethnology: For continuing ethnological researches among the Ameri- 
can Indians and the natives of Hawaii, the excavation and preservation of 
archeologic remains under the direction of the Smithsonian Institution, includ- 
ing necessary employees, the preparation of manuscripts, drawings, and illustra- 
tions, the purchase of books and periodicals, and traveling expenses, $52,910.00. 


SYSTEMATIC RESEARCHES 


M. W. Stirling, Chief, left Washington on October 23, 1934, to 
investigate the location of finds of the eastern type of Folsom point 
in King and Queen and Halifax Counties, Va., and in Granville 
County, N. C. It was discovered that the points in question were all 
surface finds, the exact location of several being examined. Two in- 
teresting facts developed from this study: None of the Folsomlike 
points was found in connection with village site material, and all of 
them were recovered from hilltop fields or other elevations where 
erosion had removed the topsoil. Until finds are made in situ, and 
in association with other material, very little can be said as to the 
antiquity of the specimens beyond the fact that they appear to be 
earlier than the ceramic horizons in the same region. 

On January 18, 1935, Mr. Stirling arrived at San Jose, Guatemala, 
from which point he visited archeological sites on the Pacific Coastal 
Plain. Proceeding to the highlands of Guatemala, he visited several 
Maya Quiche villages in the vicinity of Lake Atitlan and Chichi- 
castenango. Subsequently he studied the old empire ruins of 
Quirigua on the Motagua River and Copan in Honduras. After 
returning to Guatemala from Honduras, Mr. Stirling proceeded to 
Yucatan, where he spent a week as a guest of the Carnegie Institu- 
tion in viewing the sites of Uxmal and Chichen Itza. On February 
12 he returned to Washington. 

On June 18 Mr. Stirling left Washington for Macon, Ga., to 
examine the progress made by Dr. A. R. Kelly on the large-scale 


31 


30) ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


mound excavations near that city. From Macon Mr. Stirling pro- 
ceeded to Brunswick, Ga., to view some of the archeological sites on 
the Sea Islands and to consult with National Park Service officials 
regarding the establishment of archeological monuments in that area. 
From Brunswick he went to Manatee, Fla., to examine some interest- 
ing Calusa material discovered by Montague Tallant. Following 
this, a brief trip was made to Cape Sable and the Florida Keys to 
locate some of the southernmost examples of Calusa archeological 
sites. On the return trip to Washington, he spent 2 days at Talla- 
hassee, Fla., in consultation with Vernon Lamme, Florida State 
Archeologist, and visited several interesting sites in the vicinity. 

Dr. John R. Swanton, ethnologist, devoted a considerable part of 
the year to the amplification of his report on the Southeastern 
Indians, material being added from Spanish, French, and English 
sources, 

In November and the first week of December, Dr. Swanton, accom- 
panied by F. M. Setzler, assistant curator of archeology in the 
United States National Museum, visited Macon, Ga., as the guests of 
Dr. and Mrs. Charles C. Harrold, stopping on the way at various 
points in North Carolina to examine archeological collections and 
sites connected with the expedition of De Soto. They remained in 
Atlanta, at the invitation of Mr. and Mrs. Beverly M. Du Bose, long 
enough to view the famous Etowah mounds at Cartersville. Besides 
visiting several sites in the immediate neighborhood of Macon, they 
made a trip to Panama City, Fla., and with the helpful cooperation 
of Judge Ira A. Hutchinson of that place viewed many of the sites 
explored by Clarence B. Moore and obtained an excellent collection 
of potsherds from one of the large shell heaps. On the return trip 
to Washington productive attempts were made to identify sites 
visited by De Soto in both North and South Carolina. Lectures 
were delivered at Macon and also at Emory University, Atlanta, 
before those interested in the local archeology. 

During the last week in December, Dr. Swanton took part in a 
conference on the prehistory of the lower Mississippi Valley at 
Baton Rouge, La., and on his way back spent some time visiting 
Indian sites along Alabama River with James Y. Brame, Jr., of 
Montgomery, Ala. 

Shortly before the end of the year Dr. Swanton took up again 
his work on the Timucua linguistic material, which had been laid 
aside for some time. Timucua is no longer spoken, and, with the 
exception of two letters and some isolated words, all that is known 
regarding it is contained in five early seventeenth-century religious 
works published by the Franciscan friars Pareja and Movilla, with 
a grammar by the former. 


REPORT OF THE SECRETARY 30 


At the beginning of the year Dr. Truman Michelson, ethnologist, 
was engaged in working out the phonetic shifts of Natick on the 
basis of the material contained in Trumbull’s Dictionary. With 
very few exceptions these are now satisfactorily solved, and have 
been indexed on file cards. When a few remaining obscure points 
are elucidated it will be possible to present a complete paper for 
publication. During the year a number of technical papers were 
prepared for publication in certain professional periodicals. Among 
these is a series of papers solving certain difficulties in Algonquian 
sound-shifts and etymologies as well as showing that some sound- 
shifts took place in Proto-Algonquian times. An article on Winne- 
bago social and political organization should also be noted. The 
data extracted from Caleb Atwater’s writings, previously neglected, 
are important. A new technique of determining the gentes of some 
tribes at certain times is given. Since gentes often own personal 
names, it is clear that personal names occurring as the signers of 
treaties and in early documents can be utilized in determining the 
gentes. Of general ethnological interest will be Dr. Michelson’s 
communication, shortly to be published in the American Anthropol- 
ogist, on Miss Owen’s Folk-Lore of the Musquakie Indians. Since 
the book deals with the Musquakie Indians, we have a right to 
suppose that the Indian words cited are Musquakie. However, Dr. 
Michelson shows that several are not even Algonquian but Siouan. 
Dr. Michelson has prepared and submitted for publication two 
papers: “Further Notes on Algonquian Kinship Terms” and 
“What Happened to Green Bear Who Was Blessed with a Sacred 
Pack” 

Dr. John P. Harrington, ethnologist, continued during the year 
his researches on the Indians of California and other related western 
Indians, both in the field and in Washington. At the beginning of 
the year he was engaged in work in southern California with an 
aged Indian, reviewing with him the ethnology contained in Father 
Boscana’s unique report on the culture of the southern California 
coast Indians, written in 1822, the manuscript of which Dr. Harring- 
ton recently discovered. The rehearing and annotating of this im- 
portant manuscript was continued with other informants until well 
into the fall, resulting in the elucidating of practically every passage 
of the old text. On the completion of this work Dr. Harrington 
returned to Washington, D. C., to continue the annotation of the 
Boscana manuscript. Owing to the presence of Mission Indians in 
the city of Washington during all the latter part of the year, as 
delegates in connection with legislative work, Dr. Harrington 
availed himself of this opportunity to amplify the work. Legends 
and other materials from these Indians were reheard, discussed, and 
edited. This work was still in continuation on June 30. 


34 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Dr. Frank H. H. Roberts, Jr., archeologist, devoted considerable 
time during the year to a study of the problem of so-called Folsom 
man. Extensive correspondence was carried on with collectors 
throughout the country concerning their finds of Folsom points and 
many examples were sent to him for study, photographing, and 
measuring. Asa result of this work much new information was ob- 
tained concerning variations in this peculiar type of projectile point 
and its distribution. 

Dr. Roberts left Washington September 23, 1934, for Fort Collins, 
Colo., to investigate a site which had been reported to the Smithso- 
nian Institution by Maj. Roy G. Coflin, professor of geology in Colo- 
rado State College. The site was discovered in 1924 by Judge C. C. 
Coffin and his son, A. L. Coffin, of Fort Collins. Among the speci- 
mens were points which later were identified as belonging to the 
Folsom type, the oldest thus far known in North America. Dr. 
Roberts spent 6 weeks exploring the site, with the permission of the 
owner of the land, William Lindenmeier, Jr., of Fort Collins. From 
an intact midden layer 14 feet below the present ground level, and a 
quarter of a mile distant from the place of the original finds by the 
Coffins, he procured a whole series of implements which definitely 
establish a complex for the Folsom horizon. 

Dr. Roberts returned to Washington November 20, 1934, and dur- 
ing the winter months prepared a manuscript detailing the results of 
his work. This paper, entitled “A Folsom Complex: Preliminary 
Report on Investigations at the Lindenmeier Site in Northern Colo- 
rado”, was published June 20, 1935, in the Smithsonian Miscel- 
laneous Collections, vol. 94, no. 4, publ. no. 3333. 

Dr. Roberts left Washington again for Fort Collins on May 26. A 
camp was established at the Lindenmeier site and excavations on 
a larger scale than those of the preceding autumn were begun. The 
digging yielded numerous specimens of stone implements and a con- 
siderable quantity of bison bones, indicating that they are from much 
larger animals than the modern bison. A number of stone imple- 
ments were found in direct association with these bones, and one 
vertebra contains the tip end from a typical Folsom point. 

While the work at the Lindenmeier site was progressing, Dr. 
Roberts visited a number of locations in the northern Colorado area 
where Folsom specimens have been found. None of the latter indi- 
cated possibilities for increased knowledge on the subject comparable 
to those at the Lindenmeier site. 

During the month spent in the office Dr. Roberts also worked on 
manuscripts detailing the results of archeological work conducted 
in Arizona and at Shiloh National Military Park, Tenn. 


REPORT OF THE SECRETARY 35 


From July to October 1934, Dr. W. D. Strong, ethnologist, was 
in Washington working with the collections made in Spanish Hon- 
duras during the preceding years. During the year a report on one 
phase of this work, entitled “Archeological Investigations in the Bay 
Islands, Spanish Honduras ”, was completed. It was published Feb- 
ruary 12, 1935, in the Smithsonian Miscellaneous Collections, vol. 92, 
no. 14. In October 1934 Dr. Strong was sent to Fort Collins, Colo., 
to examine and assist in work at a newly discovered site where a 
habitation level occupied by Folsom man was being investigated by 
Dr. F. H. H. Roberts, Jr., of the Bureau of American Ethnology. 
Returning to Washington in the same month, he was occupied for 
some time in revising and amplifying an earlier report, “An Intro- 
duction to Nebraska Archeology ”, which was completed and went 
to press March 1, 1935. From December 1934 until the end of the 
year, Dr. Strong served as an adviser in anthropology to the Bureau 
of Indian Affairs. Prior to May 1934 this work was carried on in 
addition to his other duties but, subsequent to that time, through an 
arrangement between the Bureau of American Ethnology and the 
Bureau of Indian Affairs, full time was devoted to this task. 

Winslow M. Walker, associate anthropologist, devoted the time 
from July 1 until the end of the calendar year in working with the 
collections made in connection with the Federal Civil Works Admin- 
istration relief project at Buena Vista Lake, Calif. At the same 
time Mr. Walker was able to continue work in connection with his 
researches in the lower Mississippi Valley, and completed for publi- 
cation the report of his work on the large mound at Troyville, La. 

J. N. B. Hewitt, ethnologist, was engaged during the year in a 
revision of the native Onondaga text of the Requickening Address 
of the Condolence Convocation of the Iroquois League, adding to 
the text and translation the summarizing speech introductory to the 
Second Part of this Address, retranslating the whole. He also re- 
vised the historical tradition of the founding of the League of the 
Iroquois, not only words but incidents as well, retranslating the 
whole to conform to the corrections. Texts of laws relating to other 
aspects of the League were also revised and made to conform to later 
information obtained in his researches. 

Mr. Hewitt worked on the preparation of a paper analyzing 
approximately 400 Chippewa place names. He also prepared a list 
of over 200 Seneca personal names arranged according to the age 
grades of the individual. 

In the course of the year Mr. Hewitt attended the meetings of the 
Advisory Committee to the Division of Geographic Names of the 
Department of the Interior, for which he also did some research 
work. 

36923—36——4 


36 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


SPECIAL RESEARCHES 


Miss Frances Densmore, a collaborator of the Bureau, continued 
her study of Indian music during this year, submitting disk records 
of Indian songs made at the Century of Progress Exposition. The 
records of seven songs were submitted, with transcriptions of two 
Navaho and four Sioux songs, and accompanying data. ‘These have 
been cataloged consecutively with her former work. Two of the 
Sioux songs were selected by Dean Carl E. Seashore for graphic 
reproduction by his method of phonophotography, the work being 
done at his laboratory at the University of Iowa, Iowa City. This 
is the first use of this technique of graphical recording in connection 
with the study of Indian music. Dr. Seashore states: “From a 
single playing before the microphone three groups of records are 
made: First, a re-recording of the song on hard disks for auditory 
reference; second, a phonophotographic record of pitch, intensity 
and time; and, third, an oscillogram for harmonic analysis to deter- 
mine tone quality.” Through his courtesy there was submitted a 
print of a portion of the original phonophotogram of one of these 
songs, and a graph, or “ pattern score” made by Dr. Harold Sea- 
shore from the phonophotogram. A comparison of this score with 
the transcription made by Miss Densmore corroborates the evidence 
of the ear in discerning the pitch of Indian singing and also opens 
interesting new avenues of investigation. Miss Densmore added a 
chapter on a summary of analysis to her book on British Columbian 
music, awaiting publication. 

Acknowledgment is made of the courtesy of Mrs. Laura Boulton 
and Dr. George Herzog in providing the use of the Fairchild disk 
recording apparatus on which Indian songs were recorded at the 
Century of Progress Exposition. 


EDITORIAL WORK AND PUBLICATIONS 


The editing of the publications of the Bureau was continued 
through the year by Stanley Searles, editor. In addition to the 
current work of the office, considerable progress was made on com- 
paring and correcting the comprehensive manuscript index of Bul- 
letins 1-100 of the Bureau. Every entry is being verified. 

An index of Schoolcraft’s work entitled “ Indian Tribes ”, in six 
volumes, begun last year, is well advanced. 

Bulletin 112, “An Introduction to Pawnee Archeology ”, by Waldo 
Rudolph Wedel, was edited and prepared for printing; and work 
has been done on other manuscripts in the custody of the editor. 
Publications distributed totaled 11,955. 


REPORT OF THE SECRETARY 37 


LIBRARY 


The reference library has continued under the care of Miss Ella 
Leary, librarian. The library consists of 31,101 volumes, 17,189 
pamphlets, and several thousand unbound periodicals. During the 
year 400 books were accessioned, of which 47 were acquired by pur- 
chase, the remainder being received through gift and exchange of 
Bureau publications; also 94 pamphlets and 3,125 serials, chiefly 
the publications of learned societies, were received and recorded. 
Books loaned during the year numbered 1,069. In the process of 
cataloging, 1,550 cards were added to the catalog files. Requisition 
was made on the Library of Congress during the year for 140 vol- 
umes for official use. This year, more than in previous years, advan- 
tage was taken of the interlibrary loan service for books needed by 
the staff. 

As usual, hundreds of publications were consulted in the library 
during the year by investigators and students, other than members 
of the Smithsonian Institution. Individual contributors both at 
home and abroad continued to show their interest by sending contri- 
butions to the library. 

ILLUSTRATIONS 


Following is a summary of work accomplished by E. G. Cassedy, 
illustrator : 


J EDT EESTR FSIS ON I iE aS Re a pee 1 
CUTE eS eee ee eee ee eS eee 115 
Grea 1 See ee 2 pe ae 2 ei te 43 
Photographseretouchedias. S22 aes a ee ee 68 
NY OS i a eee ee ee a eee ee 29 
PER Ry 0 TN SS ar re te ce a re ae ee a 
WECLETIN SOD Sie a ee ee ee ee ee eS 147 
Blatesmprepared === =) 28 22 ee 22 eo See 97 
Photoeraphsncolore dike a ee ee eee eS 21 
Mechanicaledrawint st = 22) eee eee eee 5 
IPOINLINGSSrepalbeds sae = ern eae ee eee eee 2 
PING Gey See ee Ss ae ee ee 545 
COLLECTIONS 
Accession 
Number 


180570. Pottery fragments from Weeden Island, Fla., collected by D. L. Reich- 
ard (4 specimens). 

130576. Human skeletal material obtained through excavations conducted 
under the Federal Civil Works Administration by W. M. Walker at 
various sites in California (88 specimens). 

132127, Skeletal material excavated from Peachtree Mound at Murphy, N. C. 
(39 specimens). 


38 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


182168. Skeletal material obtained in the course of archeological work con- 
ducted at Ormond Beach, Fla., during the winter of 1933-34 under 
the Federal Civil Works Administration (53 specimens). 

133314. Collection of archeological material obtained on the mainland of 
Spanish Honduras and on the adjacent Bay Islands by Dr. W. D. 
Strong in 1933 (827 specimens). 

134994. Skeletal material from Perico Island, Manatee County, Fla., collected 
by the C. W. A. during the winter of 1933-34 (180 specimens). 


MISCELLANEOUS 


During the course of the year information was furnished by mem- 
bers of the Bureau staff in reply to numerous inquiries concerning 
the North American Indians, both past and present, and the Mexican 
peoples of the prehistoric and early historic periods. Various speci- 
mens sent to the Bureau were identified and data on them furnished 
for their owners. 

Personnel—The appointment of Winslow M. Walker, associate 
anthropologist, was terminated May 31, 1935, owing to ill health. 

Miss Helen Heitkemper was temporarily appointed as junior 
stenographer in the absence of Miss Edna Butterbrodt, on furlough. 

Respectfully submitted. 

M. W. Sriruine, Chief. 

Dr. C. G. Axspor, 


Secretary, Smithsonian Institution. 


APPENDIX 5 
REPORT ON THE INTERNATIONAL EXCHANGE SERVICE 


Sir: I have the honor to submit the following report on the opera- 
tions of the International Exchange Service during the fiscal year 
ended June 30, 1935: 

The total appropriation made by Congress for the Service for 
1935 was $41,188.17, of which amount $39,692 was included in the 
regular appropriation act and $1,496.17 was allowed for the purpose 
of restoring the remainder of the 15 percent economy reduction made 
in salaries a few years ago. The above is an increase of $2,134.17 in 
the amount granted for the exchanges during the fiscal year 1934. 
The repayments from departmental and other establishments aggre- 
gated $3,616.05, making the total resources available for conducting 
the Service during the year $44,804.22. 

The total number of packages that passed through the Service 
during the year was 654,131, a decrease of 21,849. The weight was 
560,381 pounds, a decrease of 64,360 pounds. 

The publications sent and received are placed under three classes— 
parliamentary documents, departmental documents, and miscellane- 
ous scientific and literary publications. The number and weight of 
packages containing the publications coming under these headings are 
given in the table below. 


Packages Weight 
Class ——— 
Sent Received Sent Received 


United States parliamentary documents sent abroad_---__- S5OhOOI FS a- nes tee 115, 937 
Fublications received in return for parliamentary docu- 


ee a Lee ee a ee ae aE LT 9+ 0331 =k ae ee 25, 838 
United “States departmental documents sent abroad__--_--- 100 F420) |E= se ce ose 06,921 |e cence. eee 

Publications received in return for departmental docu- 
Se ee ae a ee eo eee Se | Pe LS 65026) sere suet 26, 093 

eee enooas scientific and literary publications sent 
SD EOS ee ee SE Os eee aE 140,405) | 422 Se 200; | 293)... 22 

Miscellaneous scientific and literary publications received 
from abroad for distribution in the United States_...____]---------- AON Ofe eaeaeaaaee 95, 299 
UN ES Sie ene ee Oe a ae ee ee ee ee 597, 416 56, 715 413, 151 147, 230 

Granditotalvhandled< sees ee ee ee ee ee 654, 131 560, 381 


The total number of boxes used in dispatching consignments 
abroad was 2,187, a decrease of 155 from the preceding year. Of 
these boxes, 460 were for the foreign depositories of full sets of 


39 


40 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


United States governmental documents and the remainder (1,727) 
were for distribution to miscellaneous establishments and in- 
dividuals. 

In addition to the packages sent abroad in boxes, 58,878 packages 
were transmitted directly to their destinations by mail. 

In July 1934 a valuable consignment of exchanges, consisting of 
eight boxes from New South Wales, was destroyed by fire and 
water on the pier at New York. Five of the boxes contained pub- 
lications requested by the Institution to complete the collections of 
official documents of the Government of New South Wales in the 
Library of Congress. These publications were procured by the 
Public Library in Sydney, which conducts the Exchange Agency 
for New South Wales. The Principal Librarian of the Public 
Library has advised the Institution that he would keep the list of 
wanted publications in hand and from time to time endeavor again 
to obtain copies of as many of the documents as are available. 


FOREIGN DEPOSITORIES OF GOVERNMENTAL DOCUMENTS 


The full set of governmental publications sent to the American 
Library in Paris has been discontinued, the number of full sets for- 
warded abroad now being 61. There are 50 depositories of partial 
sets, making the total number of full and partial sets 111. 

Following is a list of full and partial sets of depositories: 


DEPOSITORIES OF FULL SIZES 


ARGENTINA: Ministerio de Relaciones Exteriores, Buenos Aires. 
Buenos Arres: Biblioteca de la Universidad Nacional de La Plata, La 
Plata. (Depository of the Province of Buenos Aires.) 
AUSTRALIA: Library of the Commonwealth Parliament, Canberra. 
New SoutH WALES: Public Library of New South Wales, Sydney. 
QUEENSLAND: Parliamentary Library, Brisbane. 
SoutH AUSTRALIA: Parliamentary Library, Adelaide. 
TASMANIA: Parliamentary Library, Hobart. 
Victor1A: Public Library of Victoria, Melbourne. 
WEsTERN AUSTRALIA: Public Library of Western Australia, Perth. 
AustrIA: National-Bibliothek, Wien I. 
BELGIuM: Bibliothéque Royale, Brussels. 
Braziu: Bibliotheca Nacional, Rio de Janeiro. 
CANADA: Library of Parliament, Ottawa. 
MAniItToBA: Provincial Library, Winnipeg. 
OnTARIO: Legislative Library, Toronto. 
QuesBEc: Library of the Legislature of the Province of Quebec. 
CHILE: Biblioteca del Congreso, Santiago. 
CuiInA: National Central Library, Nanking. 
CotomsBr1a: Biblioteca Nacional, Bogota. 
Costa Rica: Oficina de Depésito y Canje Internacional de Publicaciones, San 
José. 


REPORT OF THE SECRETARY 41 


Cupa: Secretaria de Estado (Asuntos Generales y Canje Internacional), 
Habana. 
CZECHOSLOVAKIA: Bibliothéque de l’Assemblée Nationale, Prague. 
DENMARK: Kongelige Bibliotheket, Copenhagen. 
Ecyrer: Bureau des Publications, Ministére des Finances, Cairo. 
Estonia: Riigiraamatukogu (State Library), Tallinn (Reval). 
FRANCE: Bibliothéque Nationale, Paris. 
GreRMANY: Reichstauschstelle im Reichsministerium des Innern, Berlin C 2. 
BaAvDEN: Universitits-Bibliothek, Freiburg. (Depository of the State of 
Baden.) 
Bavaria: Bayerische Staatsbibliothek, Miinchen. 
Prussia: Preussische Staatsbibliothek, Berlin, N. W. 7. 
Saxony: Siichsische Landesbibliothek, Dresden—N. 6. 
WurtEMBuRG: Landesbibliothek, Stuttgart. 
GREAT BRITAIN: 
ENGLAND: British Museum, London. 
GuLascow: City Librarian, Mitchell Library, Glasgow. 
Lonpon: London School of Economics and Political Science. (Depository 
of the London County Council.) 
Huneary: A Magyar orszéggyiilés kOnyvtara, Budapest. 
Inp1A: Imperial Library, Calcutta. 
Trish FREE State: National Library of Ireland, Dublin. 
Iraty: Ministero dell’ Educazione Nazionale, Rome. 
JAPAN: Imperial Library of Japan, Tokyo. 
Latvia: Bibliothéque d’Etat, Riga. 
LEAGUE oF Nations: Library of the League of Nations, Geneva, Switzerland. 
Mexico: Biblioteca Nacional, Mexico, D. F. 
NETHERLANDS: Royal Library, The Hague. 
NEW ZEALAND: General Assembly Library, Wellington. 
NORTHERN IRELAND: H. M. Stationery Office, Belfast. 
Norway: Universitets-Bibliotek, Oslo. (Depository of the Government of 
Norway.) 
Prru: Biblioteca Nacional, Lima. 
PoLAND: Bibliothéque Nationale, Warsaw. 
PorTUGAL: Biblioteca Nacional, Lisbon. 
RuMANIA: Academia Romana, Bucharest. 
SPAIN: Servicio de Cambio Internacional, Paseo de Recoletos 20, Madrid. 
SWEDEN: Kungliga Biblioteket, Stockholm. 
SWITZERLAND: Bibliothéque Centrale Fédérale, Berne. 
TurKEY: Ministére de l’Instruction Publique, Ankara. 
UNION oF SoutH AFricA: State Library, Pretoria, Transvaal. 
UNION oF Soviet SocraList Repusitics: State Central Book Chamber, Moscow 4. 
UxKrRAINE: All-Ukrainian Association for Cultural Relations with Foreign 
Countries, Kharkoy #2. 
Urueuay: Oficina de Canje Internacional de Publicaciones, Montevideo. 
VENEZUELA: Biblioteca Nacional, Caracas. 
YuGostavia: Ministére de l’Education, Belgrade. 


DEPOSITORIES OF PARTIAL SETS 


AFGHANISTAN: Ministry of Foreign Affairs, Publications Department, Kabul. 
AUSTRIA: 

Vienna: Magistrat der Stadt Wien, Abteilung 51-Statistik. 
Botivia: Biblioteca del H. Congreso Nacional, La Paz. 


42 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


BRAZIL: 
MINAS GeERAES: Directoria Geral de Estatistica em Minas, Bello Horizonte. 
Rio DE JANEIRO: Bibliotheca da Assemblea Legislativa do Estado, Nictheroy. 
BritisH GUIANA: Government Secretary's Office, Georgetown, Demerara. 
Bucaria: Ministére des Affaires Etrangéres, Sofia. 
CANADA: 
ALBERTA: Provincial Library, Edmonton. 
BRITISH COLUMBIA: Provincial Library, Victoria. 
NEw Brunswick: Legislative Library, Fredericton. 
Nova Scotia: Provincial Secretary of Nova Scotia, Halifax. 
PRINCE HpWArD ISLAND: Legislative Library, Charlottetown. 
SASKATCHEWAN: Government Library, Regina. 
CEYLON: Chief Secretary’s Office (Record Department of the Library), Colombo. 
CHINA: National Library, Peiping. 
Danzia: Stadtbibliothek, Free City of Danzig. 
DoMINICAN REPUBLIC: Biblioteca del Senado, Santo Domingo. 
Ecuapor: Biblioteca Nacional, Quito. 
FINLAND: Parliamentary Library, Helsingfors. 
GERMANY : 
BREMEN: Senatskommission fiir Reichs- und Auswirtige Angelegenheiten. 
Hameure: Senatskommission fiir Reichs- und Auswirtige Angelegenheiten. 
HeESsSE: Universitits-Bibliothek, Giessen. 
Ltspeck: President of the Senate. 
THURINGIA: Rothenberg-Bibliothek, Landesuniversitit, Jena. 
GREECE: Library of Parliament, Athens. 
GUATEMALA: Biblioteca Nacional, Guatemala. 
Haiti: Secrétaire d’Etat des Relations Extérieures, Port au Prince. 
Honpuras: Biblioteca y Archivo Nacionales, Tegucigalpa. 
IceLaAnD: National Library, Reykjavik. 
INDIA: 
Assam: General and Judicial Department, Shillong. 
BENGAL: Assistant Secretary to the Government of Bengal, Department 
of Education, Calcutta. 
Broar and Orissa: Revenue Department, Patna. 
BompBay: Undersecretary to the Government of Bombay, General Depart- 
ment, Bombay. 
BurMa: Secretary to the Government of Burma, Education Department, 
Rangoon. 
CENTRAL PRovINcES: General Administration Department, Nagpur. 
Mapras: Chief Secretary to the Government of Madras, Public Depart- 
ment, Madras. 
Punsab: Chief Secretary to the Government of the Punjab, Lahore. 
UNITED PROVINCES OF AGRA AND OuUDH: University of Allahabad, Allahabad. 
JAMAICA: Colonial Secretary, Kingston. 
LipertIA: Department of State, Monrovia. 
LITHUANIA: Ministére des Affaires Etrangéres, Kaunas (Kovno). 
Matra: Minister for the Treasury, Valletta. 
NEWFOUNDLAND: Department of Home Affairs, St. John’s. 
Nicaragua: Superintendente de Archivos Nacionales, Managua. 
PANAMA: Secretaria de Relaciones Hxteriores, Panama. 
Paraguay: Secretario de la Presidencia de la Republica, Asuncion. 
SALVADOR: Ministerio de Relaciones Exteriores, San Salvador. 


REPORT OF THE SECRETARY 43 


Sram: Department of Foreign Affairs, Bangkok. 
STRAITS SETTLEMENTS: Colonial Secretary, Singapore. 
VaTICAN City: Biblioteca Apostolica Vaticana, Vatican City, Rome, Italy. 


INTERPARLIAMENTARY EXCHANGE OF THE OFFICIAL JOURNAL 


During the year one additional foreign depository was added to 
the list of those countries receiving the daily issue of the Congres- 
sional Record, the depository being located in Albania. 

The two chambers of the National Congress of Cuba having been 
superseded by a Nationa] Assembly with a single chamber, only one 
copy of the Record is now being forwarded to the Cuban Legislature 
instead of two. The Records sent to Baden and Mecklenburg- 
Strelitz were discontinued. There now are 102 copies of the Record 
forwarded to foreign depositories, a complete list of which is given 
below: 

DEPOSITORIES OF CONGRESSIONAL RECORD 


ALBANIA; Ministrija Mibretnore e Punéveté Jashtme, Tirana. 
ARGENTINA : 
Biblioteca del Congreso Nacional, Buenos Aires. 
Camara de Diputados, Oficina de Informaci6n Parlamentaria, Buenos Aires. 
Buenos Aires: Biblioteca del Senado de la Provincia de Buenos Aires, La 
Plata. 
AUSTRALIA : 
Library of the Commonwealth Parliament, Canberra. 
NEw SoutH WatEs: Library of Parliament of New South Wales, Sydney. 
QUEENSLAND: Chief Secretary’s Office, Brisbane, 
WESTERN AUSTRALIA: Library of Parliament of Western Australia, Perth. 
AuSTKIA: Bibliothek des Hauses der Bundesgesetzgebung, Wien I. 
Beteium: Bibliothéque de la Chambre des Représentants, Brussels. 
Bouiv1A: Biblioteca del H. Congreso Nacional, La Paz. 
BRAZIL? 
Bibliotheca do Congresso Nacional, Rio de Janeiro. 
AMAZONAS: Archivo, Bibliotheca e Imprensa Publica, Manéos. 
Bauta: Governador do Estado da Bahia, Sao Salvador. 
Espirito SANTO: Presidencia do Estado do Espirito Santo, Victoria. 
Rio GRANDE DO Sut: “A Federacao”, Porto Alegre. 
SERGIPE: Bibliotheca Publica do Estado de Sergipe, Aracaju. 
SAo PAvLo: Diario Official do Estado de Sao Paulo, SA0 Paulo. 
British HonpuraAs: Colonial Secretary, Belize. 
CANADA: 
Library of Parliament, Ottawa. 
Clerk of the Senate, Houses of Parliament, Ottawa. 
Cuina: National Central Library, Nanking. 
CuBA: Biblioteca del Capitolio, Habana. 
CzECHOSLOVAKIA: Bibliothéque de l’Assemblée Nationale, Prague. 
Danzig: Stadtbibliothek, Danzig. 
DENMARK: Rigsdagens Bureau, Copenhagen. 
DoMINniIcAN Repusric: Biblioteca del Senado, Santo Domingo. 
DutoH Hast INDIES: Volksraad von Nederlansch-Indié, Batavia, Java. 
Eeyrt: Bureau des Publications, Ministére des Finances, Cairo. 


44 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Estonia: Riigiraamatukogu (State Library), Tallinn (Revel). 

FRANCE: 

Chambre des Députés, Service de l’Information Parlementaire Htrangére, 
Paris. 

Bibliothéque du Sénat, au Palais du Luxembourg, Paris. 

Bibliothéque, Direction des Accords commerciaux, Ministére du Commerce, 
Paris. 

GERMANY: 

Deutsche Reichstags-Bibliothek, Berlin, N. W. 7. 

Reichsfinanzministerium, Berlin W. 8. 

ANHALT: Anhaltische Landesbticherei, Dessau. 

BRAUNSOHWEIG: Bibliothek des Braunschweigischen Staatsministeriums, 
Braunschweig. 

MECKLENBURG: Staatsministerium, Sehwerin. 

OLDENBURG: Oldenburgisches Staatsministerium, Oldenburg i. O. 

Prussia: Bibliothek des Preussischen Landtages, Berlin, S. W. 11. 

ScHAUMBURG-LIPPE: Schaumburg-Lippische Landesregierung, Biicheburg. 

GIBRALTAR: Gibraltar Garrison Library Committee, Gibraltar. 

GREAT BriTraIn: Library of the Foreign Office, London. 

GREECE: Library of Parliament, Athens. 

GUATEMALA: Archivo General del Gobierno, Guatemala. 

Honpuras: Biblioteca del Congreso Nacional, Tegucigalpa. 

Hune@ary: A Magyar orszéggyiilés kényvtaré, Budapest. 

InpIA: Legislative Department, Simla. 

Iran: Library of the Iranian Parliament, Téhéran. 

Iraq: Chamber of Deputies, Bagdad, Iraq (Mesopotamia). 

TIr1sH Free State: Dail Eireann, Dublin. 

ITALY: 

Biblioteca della Camera dei Deputati, Rome. 
Biblioteca del Senato del Regno, Rome. 
Ufficio degli Studi Legislativi, Senato del Regno, Rome. 

Latvia: Library of the Saeima, Riga. 

LEAGUE OF Nations: Library of the League of Nations, Geneva, Switzerland. 

LIBERIA: Department of State, Monrovia. 

Mexico: Secretaria de la Camara de Diputados, Mexico, D. F. 
AGUASCALIENTES: Gobernador del Estado de Aguascalientes, Aguascalientes. 
CAMPECHE: Gobernador del Estado de Campeche, Campeche. 

Curapas: Gobernador del Estado de Chiapas, Tuxtla Gutierrez. 

CHIHUAHUA: Gobernador del Estado de Chihuahua, Chihuahua. 

CoAHvILA: Periédico Oficial del Estado de Coahuila, Palacio de Gobierno, 
Saltillo. 

Cotrma: Gobernador del Estado de Colima, Colima. 

DuraAanco: Gobernador Constitucional del Estado de Durango, Durango. 

GUANAJUATO: Secretaria General de Gobierno del Estado, Guanajuato. 

GUERRERO: Gobernador del Estado de Guerrero, Chilpancingo. 

JALISCO: Biblioteca del Estado, Guadalajara. 

LOWER CALIFORNIA: Gobernador del Distrito Norte, Mexicali, B. C., Mexico. 

Mexico: Gaceta del Gobierno, Toluca, Mexico. 

MicHoacANn: Secretria General de Gobierno del Estado de Michoacin 
Morelia. 

MoreEtos: Palacio de Gobierno, Cuernavaca. 

Nayarit: Gobernador de Nayarit, Tepic. 

Nuevo LEon: Biblioteca del Estado, Monterey. 


REPORT OF THE SECRETARY 45 


Oaxaca: Periddico Oficial, Palacio de Gobierno, Oaxaca. 
PurBLa: Secretaria General de Gobierno, Puebla. 
QueRETARO: Secretarfa General de Gobierno, Seccién de Archivo, Queretaro. 
San Luis Porost: Congreso del Estado, San Luis Potosi. 
SInALoOA: Gobernador del Hstado de Sinaloa, Culiacan. 
Sonora: Gobernador del Estado de Sonora, Hermosillo. 
Tapasco: Secretaria General de Gobierno, Seccién 3a, Ramo de Prensa, 
Villahermosa, 
TAMAULIPAS: Secretaria General de Gobierno, Victoria. 
TLAxCALA: Secretaria de Gobierno del Estado, Tlaxcala. 
Vera Cruz: Gobernador del Estado de Vera Cruz, Departamento de 
Gobernacién y Justicia, Jalapa. 
YucaTAn: Gobernador del Estado de Yucatin, Mérida, Yucatan. 
NEw ZEALAND: General Assembly Library, Wellington. 
Norway: Storthingets Bibliothek, Oslo. 
Peru: Camara de Diputados, Congreso Nacional, Lima. 
PoLAND: Ministére des Affaires Etrangéres, Warsaw. 
PoRTUGAL: Secretario da Assemblea Nacional, Lisbon. 
RUMANIA: 
Bibliothéque de la Chambre des Députés, Bucharest. 
Ministére des Affaires Etrangéres, Bucharest. 
SPAIN: 
Biblioteca del Congreso Nacional, Madrid. 
SWITZERLAND : 
Bibliothéque de l’Assemblée Fédérale Suisse, Berne. 
SYRIA: 
Ministére des Finances de la République Libanaise, Service du Matériel, 
Beirut. 
Governor of the State of Alaouites, Lattaquié. 
TurKEY: Turkish Grand National Assembly, Ankara. 
UNION oF SoutTH AFRICA: 
Library of Parliament, Cape Town, Cape of Good Hope. 
State Library, Pretoria, Transvaal. 
Urvucuay: Biblioteca del Poder Legislativo, Montevideo. 
VENEZUELA: Biblioteca del Congreso, Caracas. 
VaTICAN City: Biblioteca Apostolica Vaticana, Rome, Italy. 


FOREIGN EXCHANGE AGENCIES 


There is given below a list of the agencies abroad through which 
the distribution of exchanges is effected. Many of the agencies 
forward consignments to the Institution for distribution in the 
United States. 


LIST OF EXCHANGE AGENCIES 

ALGERIA, Via France, 

ANGOLA, via Portugal. 

ARGENTINA: Comisi6n Protectora de Bibliotecas Populares, Calle Callao 1540. 
Buenos Aires. 

Austria: Internationale Austauschstelle, National-Bibliothek, Wien, I. 

AZORES, via Portugai. 

BeE.ta1um: Servive Belge des Echanges Internationaux, Bibliothéque Royale de 
Belgique, Bruxelles. 


46 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Botivia: Oficina Nacional de Estadistica, La Paz. 

Brazit: Servicgo de Permutagdes Internacionaes, Bibliotheca Nacional, Rio de 
Janeiro. 

BriTIsH GUIANA: Royal Agricultural and Commercial Society, Georgetown. 

British Honpuras: Colonial Secretary, Belize. 

ButeaAria: Institutions Scientifiques de 8. M. le Roi de Bulgarie, Sofia. 

CANADA: Sent by mail. 

CANARY ISLANDS, via Spain. 

CHILE: Servicio de Canjes Internacionales, Biblioteca Nacional, Santiago. 

CuiInA: Bureau of International Exchange, National Central Library, Nanking. 

CotompBiA: Oficina de Canjes Internacionales y Reparto, Biblioteca Nacional, 
Bogota. 

Costa Rica: Oficina de Depdsito y Canje Internacional de Publicaciones, San 
José. 

Cupa: Sent by mail. 

OzECHOSLOVAKIA: Service Tchécoslovaque des Echanges Internationaux, Biblio- 
théque de l’Assemblée Nationale, Prague 1-79. 

Danzig: Amt fiir den Internationalen Schriftenaustausch der Freien Stadt 
Danzig, Stadtbibliothek, Danzig. 

DENMARK: Service Danois des Echanges Internationaux, Kongelige Danske 
Videnskabernes Selskab, Copenhagen Y. 

DutcH GUIANA: Surinaamsche Koloniale Bibliotheek, Paramaribo. 

Hcuapor: Ministerio de Relaciones Exteriores, Quito. 

Eeypr: Government Press, Publications Office, Bulaq, Cairo. 

EstoniA: Riigiraamatukogu (State Library), Tallinn. 

FINLAND: Delegation of the Scientific Societies of Finland, Kasairngatan 24, 
Helsingfors. 

FRANCE: Service Francais des Echanges Internationaux, 110 Rue de Grenelle, 
Paris. 

GrrMany: Amerika-Institut, Universititstrasse 8, Berlin, N. W. 7. 

GREAT BRITAIN AND IRELAND: Wheldon & Wesley, 2-4 Arthur St., New Oxford 
St., London, W. C. 2. 

Greece: Bibliothéque Nationale, Athens. 

GREENLAND, via Denmark. 

GUATEMALA: Instituto Nacional de Varones, Guatemala. 

Harrr: Secrétaire d’Etat des Relations Extérieures, Port-au-Prince. 

Honpuras: Biblioteca Nacional, Tegucigalpa. 

Hunecary: Hungarian Libraries Board, Ferenciektere 5, Budapest, IV. 

ICELAND, via Denmark. 

InprIA: Superintendent of Government Printing and Stationery, Bombay. 

Iraty: R. Ufficio degli Scambi Internazionali, Ministero dell’ EHEducazione 
Nazionale, Rome. 

JAMAICA: Institute of Jamaica, Kingston. 

JAPAN: Imperial Library of Japan, Uyeno Park, Tokyo. 

JAVA, Via Netherlands. 

Korea: Sent by mail. 

Latvia: Service des Echanges Internationaux, Bibliothéque d’Etat de Lettonie, 
Riga. 

LrperiA: Bureau of Exchanges, Department of State, Monrovia. 

LITHUANIA: Sent by mail. 

LOURENGCO MARQUEZ, via Portugal. 

LUXEMBOURG, Via Belgium. 

MADAGASOAR, Via France. 


REPORT OF THE SECRETARY 47 


MaApErRA, via Portugal. 

Mexico: Sent by mail. 

MozAMBIQUEB:, via Portugal 

NETHERLANDS: International Exchange Bureau of the Netherlands, Royal 
Library, The Hague. 

New SourH WaAtsEs: Public Library of New South Wales, Sydney. 

New ZEALAND: General Assembly Library, Wellington. 

NICARAGUA: Ministerio de Relaciones Exteriores, Managua. 

Norway: Service Norvégien des Echanges Internationaux, Bibliotheque de 
l’Université Royale, Oslo. 

PALESTINE: Hebrew University Library, Jerusalem. 

PANAMA: Sent by mail. 

Paracuay: Seccién Canje Internacional de Publicaciones del Ministerio de 
Relaciones Exteriores, Asuncidén. 

Peru: Oficina de Reparto, Depdsito y Canje Internacional de Publicaciones, 
Ministerio de Fomento, Lima. 

PoLanp: Service Polonais des Echanges Internationaux, Bibliothéque Nationale, 
Warsaw. 

PorruGaL: Seccio de Trocas Internacionaes, Bibliotheca Nacional, Lisboa. 

QUEENSLAND: Bureau of Exchanges of International Publications, Chief Secre- 
tary’s Office, Brisbane. 

Rumania: Bureau des Echanges Internationaux, Institut Météorologique 
Central, Bucharest. 

SALVADOR: Ministerio de Relaciones Exteriores, San Salvador. 

Sram: Department of Foreign Affairs, Bangkok. 

SourH AUSTRALIA: South Australian Government Exchanges Bureau, Govern- 
ment Printing and Stationery Office, Adelaide. 

Spatn: Servicio de Cambio Internacional de Publicaciones, Paseo de Recoletos 
20, bajo derecha, Madrid. 

SuMatTRA, via Netherlands. 

SwepEN: Kongliga Svenska Vetenskaps Akademien, Stockholm. 

SWITZERLAND: Service Suisse des LEchanges Internationaux, Bibliothéque 
Centrale Fédérale, Berne. 

Syria: American University of Beirut. 

TASMANIA: Secretary to the Premier, Hobart. 

TRINIDAD: Royal Victoria Institute of Trinidad and Tobago, Port-of-Spain. 

TunISs: via France. 

TURKEY: Robert College, Istanbul. 

UNION or SoutH Arrica: The Government Printer, Pretoria, Transvaal. 

Union oF Soviet Socrarist Repustics: Library of the Academy of Sciences of 
the U. S. S. R., Exchange Service, Leningrad V. O. 

Urnvueuay: Oficina de Canje Intetnacional de Publicaciones, Ministerio de Rela- 
ciones Exteriores, Montevideo. 

VENEZUELA: Biblioteca Nacional, Caracas. 

VicrorrA: Public Library of Victoria, Melbourne. 

WESTERN AUSTRALIA: Public Library of Western Australia, Perth. 

YUGOSLAVIA: Ministére des Affaires Etrangéres, Belgrade. 


Respectfully submitted. 
C. W. SHOEMAKER, 
Chief Clerk. 
Dr. C. G. Axsor, 
Secretary, Smithsonian Institution. 


APPENDIX 6 
REPORT ON THE NATIONAL ZOOLOGICAL PARK 


Sir: I have the honor to submit the following report on the oper- 
ations of the National Zoological Park for the fiscal year ended 
June 30, 1935: 

The regular appropriation made by Congress for the maintenance 
of the Park was $189,600. This was increased by $9,396 by special 
act of Congress to provide for salary restoration. 


ACCESSIONS 


Gifts—A number of important gifts during the year enriched the 
collection appreciably. A serval and a caracal, gifts to President 
Franklin D. Roosevelt, were turned over to the Park. Russell M. 
Arundel, Washington, D. C., presented a bushmaster. Two of the 
rare Hood Island tortoises were received from the San Diego Zoolog- 
ical Garden. Through the interest of O. H. Johnson, of Pierre, 
S. Dak., four prong-horned antelope were received from the South 
Dakota Game and Fish Commission. Roy H. Jennier, of the Zoo 
staff, brought from Panama an interesting collection of reptiles, 
gifts from Dr. James Zetek and Douglas D. H. March. 


DONORS AND THEIR GIFTS 


Amazonica, Ine., New York City, 2 common boas. 

Russell M. Arundel, Washington, D. C., bushmaster, 13 black-widow spiders. 

Hugh D. Auchincloss, Jr., Washington, D. C., 3 alligators. 

P. W. Austin, Washington, D. C., red-shouldered hawk. 

Dr. Paul Bartsch, Washington, D. C., Franklin’s spermophile. 

Baltimore County Humane Society, rhesus monkey. 

Joan T. and Joseph F. Beattie, Washington, D. C., 4 collared lizards. 

D. F. Berry, Orlando, Fla., coral snake. 

Mrs. E. Jason Black, Washington, D. C., Burmese mongoose. 

Mrs. John §S. Bleeker, Washington, D. C., alligator. 

Maurice Brady, Washington, D. C., 3 salamanders. 

S. K. Brown, Eustis, Fla., 2 coral snakes, hog-nosed snake, corn snake. 

Dr. W. A. Brumfield, Farmville, Va., great horned owl, hog-nosed snake. 

Harley B. Buckingham, Takoma Park, Md., woodcock. 

Mrs. Louise Burke, Washington, D. C., red-breasted finch. 

Dr. C. E. Burt, Winfield, Kans., 10 horned lizards, 2 indigo snakes, 3 green 
racers, bald eagle, 18 brown skinks, 4 six-lined racers, 21 collared lizards. 

Tom Cargill, Washington, D. C., 2 garter snakes. 

Caribbean Biological Supply Laboratories, Biloxi, Miss., 2 robust plated lizards, 
blue-tongued lizard, stump-tailed lizard, 6 Australian tree frogs. 


48 


REPORT OF THE SECRETARY 49 


Cc. C. C. Camp, Grottoes, Va., 4 pine snakes. 

Mr. Childress, New Market, Va., prairie dog. 

Dr. Doris M. Cochran, Washington, D. C., 2 tree porcupines. 

Miss Conrad, Washington, D. C., 2 grass parakeets. 

Costello M. Craig, Washington, D. C., 7 water snakes, pilot snake, queen snake, 
9 copperhead snakes, 2 banded rattlesnakes, 3 blacksnakes. 

BE. A. Cuevas, Washington, D. C., 3 black-widow spiders. 

T. W. Currier, Washington, D. C., barred owl. 

Ned Dearborn, Washington, D. C., Congo eel. 

I’. A, Dowell, Cheverly, Md., Florida gallinule. 

Messrs. Hast and W. Perrygo, Washington, D. C., black-widow spider, black- 
snake. 

Elliott Eecard, Washington, D. C., barn owl. 

Mr. Hlliott, Washington, D. C., sparrow hawk. 

Dr. Wm. O. Emery, Washington, D. C., midwife toad. 

Miss Charlotte Ericson, Hyattsville, Md., yellow-naped parrot. 

L. BE. Eward, Washington, D. C., Pekin duck. 

Mrs. Fair, Washington, D. C., raccoon. 

Postmaster General James A. Farley, Washington, D. C., 3 horned lizards, box 
tortoise. 

I'rank M. Fields, Washington, D. C., tarantula. 

Fire Department, Alexandria, Va., rhesus monkey. 

Florida Reptile Institute, Silversprings, Fla., 7 Florida diamondback rattle- 
snakes, 4 water snakes. 

A. Foehl, Jr., Philadelphia, Pa., great land crab. 

Mrs. Frank, Anacostia, D. C., alligator. 

R. H. Gallahan, Alexandria, Va., gopher turtle. 

Lt. Col. C. C. Gee, Washington, D. C., hog-nosed snake. 

Miss Constance Grady, Washington, D. C., Pekin duck. 

J. A. Haeseler, New York City, 3 Florida cormorants, Florida otter. 

C. C. Hagenbuch, Washington, D. C., bullsnake. 

H. P. Harnberger, Washington, D. C., 11 copperhead snakes. 

W. B. Harrison, Wildwood, Fla., worm lizard. 

Ralph Henderson, Washington, D. C., pied-billed grebe. 

Hershey Zoo, Hershey, Pa., golden eagle, 4 red-tailed hawks. 

G. Hickman, Washington, D. C., woodchuck. 

Wayne Hill, Washington, D. C., double yellow-head parrot. 

W. H. Hoffman, Washington, D. C., salamander. 

Miss Dorothy Hood, Washington, D. C., common boa. 

Dr. Hopkins, Washington, D. C., white-throated capuchin. 

Dr. L. R. House, Washington, D. C., opossum. 

Clyde Ingalls, Ringling Bros.-Barnum & Bailey Circus, pine snake. 

Capt. James Jalickee, Washington, D. C., snapping turtle. 

Stuart W. Jenks, Washington, D. C., garter snake, 2 blacksnakes, 2 coachwhip 
snakes, 2 hog-nosed snakes, 2 Florida king snakes. 

J. C. Johnson, Washington, D. C., skunk. 

Children of the Jones Family, Eastern Star Home, Washington, D. C., 2 
alligators. 

Mrs. A. S. Jones, and Miss Mary E. North, Washington, D. C., Hamadryas 
baboon. 

Carl F. Kauffeld, New York City, red-bellied turtle. 

Mr. Kidwell, Vienna, Va., red fox. 

H. H. King, Washington, D. C., banded rattlesnake. 

Douglas Knight, Washington, D. C., blacksnake, garter snake. 


50 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Dr. W. H. Krull, Washington, D. C., pilot snake. 

Robert H. Lake, Takoma Park, Md., woodchuck. 

W. K. Lawlor, Washington, D. C., copperhead snake. 

Dr. Camille L’Herisson, Port-au-Prince, Haiti, Haitian boa. 

Otto Martin Locke, New Braunfels, Tex., 28 horned lizards. 

C. C. Logan, Luray, Va., banded rattlesnake. 

Mrs. Charles MacFarland, Washington, D. C., woodchuck. 

Douglas D. H. March, Panama City, Panama, common iguana, rainbow boa, 
Mexican boa, southern ctenosaur. 

Dr. Cloyd Heck Marvin, Washington, D. C., 3 golden pheasants. 

Joseph Mathy, Washington, D. C., sparrowhawk. 

John May, Washington, D. C., ring-necked pheasant. 

Wm. McClure, Washington, D. C., flying squirrel. 

HH. A. Mcllhenny, Avery Island, La., 17 snowy herons, 22 Louisiana herons, 4 
anhingas, 3 little blue herons. 

Dr. A. L. Melander, Riverside, Cal., Agassiz’s tortoise. 

Dr. Fofo Mezitis, Washington, D. C., 2 little green herons. 

H. Mers, Washington, D. C., alligator. 

Michigan State Parks, thru’ P. J. Hoffmaster, 3 beavers. 

Gerrit S. Miller, Jr., Washington, D. C., macaque monkey. 

J. C. Moore and A. K. Sonner, Washington, D. C., 2 timber rattlesnakes. 

Mrs. S. G. Morley, Carnegie Institution, Washington, D. C., 2 Costa Rican deer. 

Mrs. Murray, Washington, D. C., grass paroquet. 

National Institute of Health, Washington, D. C., rhesus monkey. 

Mrs. Joseph Oser, Washington, D. C., alligator. 

R. G. Paine, Washington, D. C., hoop or rainbow snake, pilot snake, corn 
snake. 

L. V. Pearson, Clarendon, Va., ring-necked pheasant. 

F. A. Peckham, Washington, D. C., water snake, ring-necked snake. 

Miss V. L. Philhower, Washington, D. C., grass parakeet. 

Charles L. Pilzer, Washington, D. C., barred owl, 2 rabbits. 

Igor Plansky, Washington, D. C., boa. 

Freeman Pollock, Skyland, Va., timber rattlesnake. 

Mrs. G. F. Pollock, Washington, D. C., 2 tovi paroquets. 

R. Ralston, Alexandria, Va., false chameleon. 

A. Randon, Berwick, Pa., blacksnake. 

David Rawlings, Kensington, Md., copperhead snake. 

Howard Reed, Washington, D. C., tarantula. 

Lawrence Reid, Langley, Va., barn owl, red-tailed hawk. 

Miss L. Reuter, Washington, D. C., white-faced capuchin. 

L. T. Riddle, Washington, D. C., 2 prairie dogs. 

A. P. Robbins, Chevy Chase, Md., turtle. 

C. EH. Roberts, Washington, D. C., red-shouldered hawk. 

Beverly Rodgers, Washington, D. C., screech owl. 

Cornelius R. Rogers, Lake City, Kans., 12 horned lizards. 

President Franklin D. Roosevelt, The White House, serval and caracal. 

Jack Rowell, Rixeyville, Va., red fox. 

Mrs. BE. Ruff, Washington, D. C., marine turtle. 

Louis Ruhe, Inc., New York City, golden cat. 

Dr. Herbert Sanborn, Nashville, Tenn., broad-winged hawk. 

San Diego Zoological Park, San Diego, Calif., 2 Hood Island tortoises. 

George Schreyer, Washington, D. C., barn owl. 

Charles Selby, Washington, D. C., coachwhip snake, bullsnake, green racer, 
milk snake, 4 hog-nosed snakes. 


REPORT OF THE SECRETARY 51 


Mrs. Charles Shelby, Washington, D. C., 5 bullsnakes. 

Gates Slattery, Washington, D. C., red-tailed hawk. 

Miss Edith Smallwood, Cumberland, Md., green guenon. 

South Dakota Game & Fish Commission, through O. H. Johnson, Pierre, S. D., 
4 prong-horn antelopes. 

Dr. Robert M. Stabler, Philadelphia, Pa., woodchuck. 

Franklin A. Thompson, Washington, D. C., 2 ring-necked snakes, water snake. 

M. I. Tomilin, Orange Park, Fla., garter snake, 2 hog-nosed snakes, coachwhip 
snake, water moccasin or cottonmouth, 5 water snakes. 

U. S. Biological Survey, Washington, D. C., pintail. 

U. S. Biological Survey, through J. S. C. Boswell, Canada Goose, corn snake, 
3 king snakes; through J. M. Hill, Jr., and L. C. Whitehead, 28 white-necked 
ravens; through F. C. Lincoln, ring-necked pheasant; through George Mush- 
bach, 2 cinnamon teals; through Utah State F. BE. R. A., 3 pumas. 

U. S. Bureau of Fisheries, through Fred Orsinger, 6 mudpuppies. 

W. H. Vesper, Washington, D. C., 2 kinkajous. 

Mrs. L. C. Vogt, Takoma Park, Md., canary. 

Mrs. Reginald Walker, Washington, D. C., common turkey, mallard duck. 

Mrs. Carl Werthner, Washington, D. C., sulphur-crested cockatoo. 

Miss HE. J. Whitacre, Washington, D. C., double yellow-head parrot. 

Mrs. Hazel Whitaker, Takoma Park, Md., sulphur-crested cockatoo. 

J. O. Whittey, Washington, D. C., marine turtle. 

K. F. Wood, Washington, D. C., screech owl. 

John F. Wynkoop, Washington, D. C., Virginia opossum. 

Dr. James Zetek, Canal Zone, Panama, 60 arrow-poison frogs, 12 yellow 
atelopus. 

Vincent Zoll, Washington, D. C., 4 Siamese fighting fish. 

Donor unknown: Boa. 


Eachanges——Notable additions obtained through the medium of 
exchange were an Asiatic wild ass or Kiang, black-buck or Indian 
antelope, and a barking or rib-faced deer obtained from Hagenbeck 
Brothers, Hamburg, Germany. From the Philadelphia Zoological 
Garden were received 2 electric eels. A pair of zebu were obtained 
from Ellis S. Joseph, New York City. 

Purchases—Important purchases during the year were 3 Siberian 
ibex and 3 Saiga antelopes, the first of their kind ever exhibited 
in the Park. 

Births —There were 42 mammals born in the Park during the 
year. These include the following: 


MAMMALS 
Scientific name Common name No. 
PASS (SSE en cee IRS Ha 8 aS Re IAKiSedGerss 8s ne sey ee 1 
Bison’ bisont——— a Americanw bison sae===—2 ae 3 
IBOSMINGICUS === 3 Seen eee 2 ASRS YE) 0) pV SES SR Beha Ri be Rae 1 
Canismnubilius=2202 2 6 Plains }wWoltes 22. es a 3 
Cenyusnduyauceliie === = = eee Barasinghardeerss==——— == 2 
Cenvusvelap hus? == sae a eee Redd cere saat ss ais eater 2 
WD) etna vn et a a MALO WwW, Gee ise oe 4 
Dolichotis#salinicola=—= == ND Wyre CAV ee a a if 
Hquus quagga chapmani_______________. Chapmanis zebras nee il 


36923—36 5 


52 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


MAMMALS—continued 
Scientific name Common name No. 
Hquuszebraz{s-= === eee Mountain Ze praesent eee 1 
Melis? concolor seas eae eae ee eae ene (PUM ae eae ea eee 4 
amas ama ate ere aloe eed eee Llamas {25 Ser i te eae 5 
Macaea=mulatta=. = s ee  eee Rhesus"*monkey* 3224 2 eee 1 
Odocoileus*vireinianus Virginiatdecr.22 3 
OViSeUrOpacUuShe = aa eee ee oe Mouflon’22 24. 2 20 eee 1 
Sikacnippon22 = 22. eae ae ee Japanese “deers=22 22 eres 6 
PPAULOCCALUSH OL ke ee Mland!225 2% (Gee eee 1 
Thalarctos maritimus X Ursus gyas__-_-- Eybrid “beste =. 22 ae 2 
REMOVALS 


Deaths.—Important lesses by death during the year include 4 
jackass penguins; a dusky or crested langur; secretary bird; Siberian 
tiger, autopsy on which showed the cause of death to be chronic 
gastro-enteritis. A young male orangutan died of pneumonia. A 
female Saiga antelope died of a broken neck, the result of running 
into the paddock fence when the animal became frightened. An 
aardvark received May 22, 1934, died April 4, 1935. 


ANIMALS IN COLLECTION THAT HAD NOT PREVIOUSLY BEEN EXHIBITED 


MAMMALS 
Scientific name Common name 
Capra sibirica ts. 2 22 See oes i ee Siberian ibex. . 
a Chey WIC) re) nab donb ave) ie Sleeper era Ome te Core Se ae Ee Golden cat. 
ELST DECSESS MILITANT CU See ea Burmese mongoose. 
Saiga* tatarica late. is a cei ee eats ee Oe Saiga antelope. 
Scirus: finalysomil es eee ie tae ee eee Lesser white squirrel. 

BIRDS. 
ANOrEhinussealeritusy sso Ashe ees eee Sumatran dusky hornbill. 
Cinnyrisnhabessinicus= == tater. 2 ee ee Abyssinian sun bird. 
DICLULUS MITA bi SS eee White-bellied drongo. 
Halcopalbicularise= =e ee eee i oe ee White-throated bat falcon. 
Phoenieculus som alien sists. ee ee Black-billed wood hoopoe. 
POLIS AS SSMU O LO Ua CS ee ee African pigmy falcon. 
Scopushumbrettas 2 sa ee eee Hammerhead. 
REPTILES 

Dendrobatestauratus— eee Arrow-poison frog. 


Statement of the collection 


Received Pur- On 
in exchange| chased | deposit | 7°tal 


Class Presented| Born 


Crustaceans 
Mollusks 


REPORT OF THE SECRETARY 53 


Summary 
ATMA ROM ma soll yal oe teers eee Ss ee eee es 2, 238 
ACCESSION SPOUSE themyeah> <2 oon 5 See 2 oe ee 627 
Total-animals” in” collection during year. 222. ee eee eee 2, 865 
Removal from collection by death, exchange, and return of animals on 
CLE TOS 1G ie ae ee ak es href en AE ae ek Ss he ae Be Be Fe 695 
Ingeollectiony duNney 0 OS hea ee a ee ee 2,170 


Status of collection 


, Individ- Individ- 
Class Species FEI Class Species als 
Wisma ssa ee ee 171 S0OulPAraCchnids sas === seem see 1 4 
SITS ae eee eee oe ee ee Le 315 9467||"insects = .23_ 222s see Te 1 40 
Reptiles is ce se i282 131 A1Za W@rustacegns see eeeet SR aL eee ee 
‘Atripnibianss sco seen! ae 25 1077 |\*Mollusks = 222) fae 1 3 
BGS Bere wn tbe 20 148 

Potali-= sae ee eee 665 2,170 


Little attempt was made to replace the smaller mammals for which 
there are no exhibition quarters, but although the collection is some- 
what smaller in specimens, the quality has improved. 


VISITORS FOR THE YEAR 


iilypoe eee bee Ee ee DG BNO) || Joe eb A 63, 250 
IAI US (ese Sees ee Pe QO AN GO) || ManGchiss Ost 2 2 Se ee 171, 110 
NepLemper = a4. eS 1 S35 Oi |e AU Ie peers eens ee eee 2938, 739 
MCEOD STE ne Se eee TA OOM | Mayes ee eed PARR 219, 600 
Novembers2 2] 282 Jone 2 LTA NOOO) SCR C2525 ere se eee eee 259, 600 
IDECEMDeTHH = = Sess ss _ awe Se 59, 750 Ta eee 
BParintyee eee we 31, 850 No tailpeae ee ee 2, 046, 149 


The attendance of organizations, mainly classes of students, of 
which there is definite record was 29,024 from 394 different schools 
in 20 States and the District of Columbia, as follows: 


Number | Number Number | Number 
State of of State of of 

persons parties persons | parties 
Coannecticuts--*— === =-- -- = 236 34||PNew: Vork-24 22a ses. 3, 322 23 
Mela waren sera se Ee 49 1 NorthyCarolina 222-=- ===. 25 675 20 
District of Columbia_----_--- 5, 890 107, |\GOWIgs= 25s eee ee eee See 610 8 
Ve) Gy a RN oe SA ee ee 1||/*Pennsylvaniat=>222 2 - as 7, 176 29 
Georgin ei ates. eet 236 Tale hodecisian Gees. -25 2 38 1 
Indisnas ==. 222se=t 2. AS 96 1 sSouth! Carolina==2- 2-22: -=2255 155 5 
Maines <= 2 2e 5 ee 2 111 2a Pennessees+1- se we = eee 95 2 
Werylan dasa see eee 3, 699 5Oell Virginia’. =-2bsseen2 Fhe - Seek 3, 418 74 
Massachusetts -_------------- 163 6) lbWestiVirginigus. ss esas 87 3 
INDITIMIOSOUa asa ae ea eee 69 1 || Magicians of United States__- 47 1 
New, Jersey —* 22) -=-==28-- 2253 2,798 40 —————S 
IN6wr Mexico! 228s: oe 26 1 Totaltse ss 5 ese. 2s_ 2 29, 024 394 


54 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


About 2 o’clock almost every afternoon a census is made of the 
cars parked on the Zoo grounds. During the year 53,877 were so 
listed, representing every State in the Union, Hawaii, Philippine 
Islands, Canal Zone, the Bahamas, Cuba, Alaska, Canada, and 
Mexico. Since the total number is merely a record of those actually 
parked at one time, it is not of value as indicating a total attendance 
but is of importance as showing the percentage attendance by States, 
Territories, and countries. The District of Columbia comprised only 
a little over 32 percent; Maryland 14 percent; Virginia 5 percent, and 
the remaining cars were from other States, Territories, and countries. 

Fach year increased use is made of the Zoo’s facilities by students, 
artists and modelers, for motion-picture photography, recording of 
sounds made by animals for phonograph records, and other studies. 
Numerous clubs and societies visit the Zoo as part of their programs. 


IMPROVEMENTS 


The outstanding improvements of the year were made possible by 
funds from the Public Works Administration and labor and ma- 
terials from the Emergency Works Administration. 

On January 26, 1935, an allotment was made by the Public Works 
Administration of $680,000 for the construction of a small mammal 
house, a pachyderm house, an addition to the bird house, and 
mechanical shops in the Zoo. Edwin H. Clarke, an architect who 
has specialized in zoo construction, was engaged to take charge of 
the designing and construction of these buildings. The work of 
preparing plans and specifications for these structures was at once 
started in the Office of the Supervising Architect with Mr. Clarke 
consultant in charge. The completion of these projects will be one of 
the most important single events in the history of the Zoo since its 
foundation, for it will provide some of the structures most urgently 
needed for many years. 

The accomplishments with the Emergency Works Administration 
men and materials were gratifying. For the most part, these con- 
sisted of finishing work that was started and left incomplete when 
the C. W. A. activities ceased at the end of March 1934, and the 
carrying on of similar work. The more important pieces of work 
completed were: Finishing of the mountain-sheep mountain and 
erection of fence around it; completion of the condor cage; comple- 
tion of a frame building 40 by 22 feet for the wild-horse group; 
pouring of a concrete foundation for another similar building and 
the moving of a previously built structure onto this foundation; fin- 
ishing of the pouring of terrazzo floors in the lion house and the 
grinding of terrazzo floors in the entire structure, including the 


REPORT OF THE SECRETARY 55 


erinding of drains in front of the cages; grinding of 75 linear feet of 
terrazzo gutter in the floor of the bird house; completion of a stone 
building 15 by 88 feet, roofing of same, construction of dens in the 
building and cages outside for the housing of hardy outdoor animals 
of medium size (this structure is known as the outdoor Cat House 
and replaces a group of unsightly dilapidated cages formerly on this 
site) ; construction of 800 linear feet of stone wall, grading and plant- 
ing adjacent to the Cat House; construction of a concrete pool of 
irregular shape 20 by 60 feet and 2 feet in depth, partially surrounded 
by a shallow moat, low concrete wall and guard rail (for swans, cor- 
morants, and pelicans), and planting of trees and shrubbery adjacent 
thereto; construction of a stone wall to retain and protect the high 
bluff at the south end of the eagle flight cage and planting of 
shrubbery thereon; surfacing with broken concrete and stone of 2,500 
square yards of hillside road excavated under C. W. A. and the 
placing of 1,000 linear feet of Belgian block gutter at the edge of this 
road; construction of two double and six single rustic drinking 
fountains with terrazzo bowls and installation of these about the 
park; considerable painting; grounds improvement consisting of 
removal of perennial weeds from lawns, making of minor fills, seed- 
ing with grass seed, removal of excess shrubbery, including an 
intensive campaign against poison ivy, removal of dead trees and 
limbs that were dangerous over about 100 acres of the park; planting 
of a few trees and shrubs, with the result that the grounds are now 
in much better condition than ever before. 

Tn addition to the materials furnished by the E. W. A., materials 
were purchased from park funds so far as possible for use by the 
labor assigned by the E. W. A., and in this manner the accomplish- 
ments were of much more lasting benefit than would otherwise have 
been possible. 

This opportunity is taken to place on record our keen appreciation 
of the valuable and cordial assistance rendered by the District 
K. W. A. officials, particularly Capt. Howard F. Clark and William 
C. Cleary. 

Through the cooperation of W. L. Corbin, Smithsonian librarian, 
the Zoo was permitted to select from the considerable mass of sur- 
plus publications accumulated by the Institution a large number of 
volumes and pamphlets on vertebrate zoology that will be valuable 
additions to the Zoo library. Also through his office, arrangements 
were made with the officials of the Library of Congress for the Zoo 
library to select a number of publications that will be useful. The 
repairing, cataloging, accessioning, and filing of these publications 
in the Zoo library remains to be done. 


56 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


NEEDS OF THE ZOO 


Some of the greater needs in equipment for the Zoo have been 
supplied through Public Works funds and the Federal Emergency 
Relief Administration. There is still a need for more lberal ap- 
propriations for the purchase of specimens; the Zoo has always 
been handicapped by the small amount available for this purpose. 

Respectfully submitted. 

W. M. Mann, Director. 

Dr. C. G. Assor, 

Secretary, Smithsonian Institution. 


APPENDIX 7 
REPORT ON THE ASTROPHYSICAL OBSERVATORY 


Str: I have the honor to submit the following report on the activi- 
ties of the Astrophysical Observatory for the fiscal year ended June 
30, 1935: 

This observatory comprises: (a) The central station at Washington 
where apparatus is made and standardized; where reports are com- 
puted, written, and published; where preparations for expeditions 
are made; and where a general oversight is maintained of the field 
stations. (0b) A station on Mount Wilson, near Pasadena, Calif., 
where brief expeditions for special researches go from time to time. 
(c) A station on Table Mountain near Swartout, Calif., where daily 
observations of the solar constant of radiation are carried on. (d) 
A similar solar-constant station on Mount Montezuma, near Calama, 
Chile. (e) A similar station on Mount St. Katherine near Mount 
Sinai, Egypt. These stations are supported principally by annual 
Government appropriations, but in a considerable part by private 
funds. 

REVISION OF SOLAR-CONSTANT METHODS 


Records of daily observations at Mount St. Katherine since Decem- 
ber 1933 being available, a complete reduction of them was under- 
taken by the assistant director, L. B. Aldrich. Additional assistance 
was generously made available under a grant from John A. Roebling, 
so that at times as many as six computers assisted Mr. Aldrich in 
this work. By these means he was able to compute numerous “ long 
method ” values of the solar constant of radiation, base thereon a 
suitable “short method ” of reduction, and compute so many values 
by the short method as to show that the Egyptian station bids fair 
to prove of high excellence. Although the complete computation of 
all available days would not be finished before August 1935, Mr. 
Roebling was so far pleased and satisfied with the results from Mount 
St. Katherine, and so impressed with the need of this cooperating 
station, that in June 1935 he made a further grant to finance its 
occupation as a solar radiation station until 1988. At the same time 
he provided for a revision and extension of “short method ” tables 
for the stations at Montezuma, Chile, and Table Mountain, Calif., 
which will be undertaken as soon as the work of reduction for Mount 
St. Katherine is completed. It is pleasant to recall that the project 


57 


58 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


of a station in the Old World was initiated under a grant from the 
National Geographic Society. The outfit at Mount St. Katherine, 
originally employed at Mount Brukkaros, Southwest Africa, is the 
gift of the National Geographic Society. 

Mr. Roebling also made it possible to send W. H. Hoover with 
supplies to inspect the stations at Montezuma and Mount St. Kath- 
erine, and to install there improved pyrheliometric apparatus. The 
apparatus referred to is a specially constructed pyrheliometer of the 
Angstrém type. It is to be read as often as possible during bolomet- 
ric observations, and is to be calibrated daily, or nearly so, against 
the Abbot silver-disk pyrheliometers heretofore used for daily solar 
radiation observing. In this way the advantage of the smaller acci- 
dental error of the Angstrém type instrument will be combined with 
the long-continued stability of scale of the silver-disk pyrheliometer. 
It is believed that the accuracy of the daily values of the solar con- 
stant will be decidedly enhanced by this improved apparatus, and by 
the revised short method tables. Mr. Hoover visited the Montezuma 
station in February and March 1934, and will go out to Egypt in 
September or October 1935. During his stay at Montezuma all parts 
of the apparatus and methods were rechecked, and several improve- 
ments were made, 

The new apparatus above referred to was prepared by the observa- 
tory instrument maker, A. Kramer, and the fine electrical devices 
therein by L. B. Aldrich. 


PERIODICITIES IN SOLAR VARIATION AND WEATHER 


Studies of the periodicities which superposed make up the varia- 
tion of the solar radiation were continued by Dr. Abbot, with the 
assistance, as computer, of Miss L. B. Simpson, under a grant from 
Mr. Roebling. Using the best available monthly mean values of the 
solar constant from 1920 to 1934, inclusive, additional periodicities 
of 934, 34, 3914, 92, and 276 months were found in the variation of 
solar radiation besides the seven formerly discovered of 7, 8, 11, 21, 
25, 46 and 68 months respectively. All 12 are approximately integral 
submultiples of 23 years. A synthesis of these 12 periodic variations 
in the solar radiation was made. The synthesis represents the origi- 
nal values to within an average deviation of !%o9 of 1 percent. 

Two 2-year forecasts of solar variation were prepared in 1930 and 
1932, and were approximately verified by the event. The maxima 
and minima were nearly correctly forecasted as to time, but the 
curve of observation separated toward the end, as well as in 1932, 
from the curve of forecast. These defects seem likely to be corrected 
by the new analysis, and a forecast for 3 years in advance has been 
ventured. 


REPORT OF THE SECRETARY 59 


Having so satisfactorily analyzed the variation of the sun, Dr. 
Abbot has sought to detect the influence of the newly discovered 
solar variations on weather. For this purpose he analyzed the pro- 
longed records of departures from normal for temperature and 
precipitation for the stations Helsingfors, Berlin, Copenhagen, 
Greenwich, Cape Town, and Adelaide. Monthly mean departures 
were computed from “World Weather Records” (recently pub- 
lished by the Smithsonian Institution under grants from Mr. Roeb- 
ling). For greater simplicity the departures were smoothed by 
5-month traveling means. They were then analyzed to detect the solar 
periodicities above listed, and any others which might be disclosed. 

As a result Dr. Abbot was convinced that all the 12 solar period- 
icities named above except that of 3914 months, and in addition sev- 
eral others, viz, 18.6, 55, and 138 months, occur in both temperature 
and precipitation at all stations investigated. But changes of phase 
in the periodicities were found to occur occasionally. An important 
regularity in these changes of phase was discovered. They are apt 
to occur abruptly at times which are integral multiples of 1114 
years, or still more frequently of 23 years after January 1819. 

Having discovered the importance of the cycle of 23 years, both 
as least common multiple of all periodicities disclosed in the varia- 
tion of the sun and the weather, and also as a master key to changes 
of phase in weather periodicities, the next step was to inquire if this 
cycle appears in the levels of lakes and streams, the life cycles of 
animals and plants, and in other terrestrial phenomena related to 
weather. On investigation, the 23-year cycle was disclosed in the 
level of the Nile for 600 years, the levels of the Great Lakes since 
1837, the catch of cod and mackerel since 1812, the rainfall of south- 
ern New England since 1750, the thickness of tree-rings in many 
localities and over many centuries, and in varves of Pleistocene and 
Kocene geologic time. 

Finally, on plotting the temperature and precipitation of more 
than 30 stations distributed over the United States, numerous detailed 
features which appeared in a cycle of 23 years seemed to repeat 
themselves, though with some modifications of phase and amplitude, 
in successive cycles of 23 years. Assuming that this phenomena 
will continue, forecasts for the 30 or more stations for 1934, 1935, and 
1936 were prepared, based on the weather of the preceding half 
century or more. The year 1934 has now elapsed, and the forecast 
for that year has been compared with the event. The predictions for 
1934 have been grouped in four grades of success in the forecasts 
both of temperature and precipitation. They are: A, excellent, show- 
ing a close accord throughout the year; B, good, nearly as satis- 
factory; C, accordant half the time; D, bad, showing complete dis- 


60 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


agreement. Of 66 forecasts, including 31 of temperature and 35 of 
precipitation, 27 percent are of grade A, 42 percent of grade B, 17 
percent of grade C, and 14 percent of grade D. 

Reverting to the levels of the Great Lakes, not only the 23-year 
cycles, but apparently the double cycle of 46 years is of great impor- 
tance. It appears to be associated with the drought which has oc- 
curred in the northwest-central States since about 1930. It is, of 
course, plain that the low lake levels are subject to a lag of perhaps 
3 years behind the drought conditions which cause them. Hence 
recovery may be expected several years before the return of the lakes 
to normal levels. 

FIELD WORK 


Observations of the solar radiation have gone on regularly at Table 
Mountain, Calif., Montezuma, Chile, and Mount St. Katherine, 
Egypt. Besides the solar observatories, Mr. Butler, field director 
at Montezuma, at his own initiative, has continued for several years 
highly valuable seismographic observations there in cooperation 
with the United States Coast and Geodetic Survey. Also, the as- 
sistant at Montezuma, Mr. Maltby, has undertaken certain cosmic 
ray work in cooperation with the Massachusetts Institute of 
Technology. 

For several years the observers at Table Mountain, Calif., carried 
on regular daily and nightly measurements of astronomical “ seeing ” 
to assist in selecting the best location for the 200-inch telescope of 
the California Institute of Technology. The “seeing” at Table 
Mountain proved to be of the highest excellence. The observations 
are now discontinued. 

The expedition of Messrs. Abbot and Aldrich to Mount Wilson, 
referred to in last year’s report, proved less successful than was at 
first thought. The comparison of silver-disk pyrheliometers with 
the standard water-flow instrument indeed was highly successful, 
and a paper thereon has been published. But the investigation of 
the extreme infrared solar spectrum, although incidentally leading 
to a great improvement in the kampometer, a very sensitive radiation 
instrument, requires further improvements of apparatus for success. 
Observations were undertaken in cooperation with Dr. Joel Stebbins 
on the energy spectra of the stars. In this experiment the stellar 
spectral rays were selected by a battery of Christiansen filters, and 
the intensities were measured by means of the Stebbins photoelectric 
cell. Though apparently promising, the results were found to be 
vitiated by stray light. This occurred because the photoelectric cell 
is so disproportionately sensitive at certain wave lengths. It will 
be necessary to substitute some other receiver, as for instance the 
thermoelectric cell, if energy spectra of the stars are to be observed. 


REPORT OF THE SECRETARY 61 


PERSON NEL 


No change has occurred in the regular personnel. Temporary com- 
puters under Roebling grants have been employed, including the 
Misses L. B. Simpson and Frances Holly, Mrs. F. E. Fowle, and E. S. 
Chappell, Jr. 


SUMMARY 


Regular observations of the solar constant of radiation have been 
continued daily when possible at Table Mountain, Calif., Monte- 
zuma, Chile, and Mount St. Katherine, Egypt. Improvements in 
instrumental equipment and in methods have been made tending to 
increase the accuracy of the daily results. Reductions almost com- 
pleted, including tables required in future reductions, have been com- 
puted for Mount St. Katherine. They seem to indicate that the sta- 
tion will be nearly, if not quite, on a par with our best station, 
Montezuma. Through the generosity of John A. Roebling, it is ar- 
ranged to continue the Mount St. Katherine station to 1938. Analy- 
sis of solar variation since 1920 has revealed 12 periodicities, all 
approximately aliquot parts of 23 years. Their summation repro- 
duces the entire solar variation to an average agreement within 14 
of 1 percent. These 12 periodicities, with three more not as yet 
found in solar variation, but all approximately aliquot parts of 23 
years, are found in temperature and precipitation records for six 
terrestrial stations for the past century. Inversions and changes of 
phase occur, but these are found to take place at integral multiples 
of 1114 years measured from 1819. The 23-year cycle, which Hale 
found in the magnetic polarity of sun spots, is found in the levels 
of lakes and streams, the widths of tree-rings, the catches of ocean 
fish, varves of Pleistocene and Eocene geologic age, and other phe- 
nomena depending on weather. Numerous repetitive identifiable 
features occur in temperature and precipitation within each 23-year 
cycle. Forecasts of both elements for 1934, 1935, and 1936 for over 
30 stations in the United States have been made. Satisfactory agree- 
ment between forecasts and the events have been found for about 
two-thirds of the stations during 1934. It has not been deemed wise 
to publish the forecasts until further tested. 

Respectfully submitted. 

C. G. Assor, Director. 

The Secrerary, 

Smithsonian Institution. 


APPENDIX 8 


REPORT ON THE DIVISION OF RADIATION AND 
ORGANISMS 


Str: I have the honor to submit the following report on the 
activities of the Division of Radiation and Organisms during the 
year ended June 30, 1935: 

It is a pleasure to acknowledge further financial support for the 
Division during the past year from the Research Corporation of 
New York. 

An important improvement of the Christiansen filters used for 
selecting desired spectral rays for carrying on plant growth exper- 
iments was perfected. The difficulty hitherto has been that when 
powerful beams of white light enter a Christiansen filter, the central 
parts of the filter, farthest from the control of the water jacket, rise 
considerably above the temperature of control. This spoils the 
selective properties of the filter and gives rise to a broad, indefinite 
spectral band. The defect was remedied by inserting parallel with 
the transmitted beam a grill of thin aluminum strips intimately in 
contact with the outer wall of the filter. In this way, without much 
loss of light, the excess heat at the center is conducted away and the 
selective properties are greatly improved. 

Christiansen filters thus equipped have been used to repeat exper- 
iments on the dependence of the growth of algae and of wheat on 
the wave length of radiation. In the experiments on wheat a 
further improvement was made by setting up the great coelostat 
referred to in the Smithsonian Report for 1903, constructing for 
use with it a pair of very large Christiansen filters and using sun- 
light in place of electric light, thus multiplying the available intensi- 
ties. By controlling the temperature of the water jacket it was then 
possible to select from the solar spectrum any desired color from 
the extreme red to the deep violet. 

With these improvements, studies of wave-length influence on the 
growth of unicellular algae and on photosynthesis of wheat have 
heen repeated with great success, much improving earlier results. 
The study of the lethal effects of ultraviolet rays on unicellular algae 
has also been repeated and carried to a wave length of 2,250 
Angstroms, with highly accurate results. Further experiments in 
phototropism are in progress, and new results of especial interest 


62 


REPORT OF THE SECRETARY 63 


seem to have been found. Growth of tomato plants under control 
as to temperature, humidity, and color and intensity of radiation are 
in progress. The interesting and important observation was made 
that these plants require a resting period at cooler temperature as 
well as darkness. 

In cooperation with the United States Department of Agriculture, 
experiments were made and published on the promotion and inhibi- 
tion of the germination of seeds under different selected wave lengths 
of light. 

An experiment on the growth of wheat under out-of-door condi- 
tions with controlled quantities of carbon dioxide was carried 
through with satisfactory results. 

Absorption spectral apparatus has been adjusted for use. 

A number of papers embodying the results of all of the above- 
mentioned experiments were published during the year, and others 
are in preparation for publication. 

Personnel.—No changes occurred, except that Dr. Enoch Karrer 
was employed temporarily. 

Respectfully submitted. 

C. G. Assor, Director. 

The SEcrETARY, 

Smithsonian Institution. 


APPENDIX 5S 
REPORT ON THE LIBRARY 


Sir: I have the honor to submit the following report on the activi- 
ties of the Smithsonian library for the fiscal year ended June 30, 
1935: 


THE LIBRARY 


The library of the Smithsonian Institution is in reality a library 
system, for it is composed of 45 libraries, each related to the work 
of the Institution as a whole or to that of one of its branches. Out- 
standing among them in point of age, size, and importance of ma- 
terial are the Smithsonian deposit in the Library of Congress and 
the libraries of the United States National Museum and the Bureau 
of American Ethnology. The other members of the system are the 
libraries of the Astrophysical Observatory, Freer Gallery of Art, 
National Gallery of Art, National Zoological Park, the Langley 
aeronautical library, radiation and organisms library, Smithsonian 
office library, and the 35 highly specialized sectional libraries of the 
National Museum. The libraries, taken together, number nearly 
850,000 volumes, pamphlets, and charts. 


PERSONNEL 


Margaret Moreland, senior stenographer and secretary in the office 
of the librarian, resigned to accept a position in New York. The 
vacancy was filled by the transfer, from the examining division of 
the Civil Service Commission, of Lucile A. Torrey, an A. B. from 
Tulane University and a B. S. in library science from the Louisiana 
State University, with stenographic training. 

Grace A. Parler, who since 1930 had been on temporary appoint- 
ment as under library assistant in the Freer Gallery of Art, was 
made a permanent member of the staff and advanced in grade. 

Bruce Middleton resigned the position of minor library assistant 
in the Astrophysical Observatory to accept promotion in the Depart- 
ment of Agriculture. 

A temporary position of minor library assistant was established 
in the National Zoological Park and filled for 3 months. 

The temporary employees were Clarence Athearn, Alice Elizabeth 
Hill, Margaret Link, Grace A. Parler, and Helen Rankin. There 

64 


REPORT OF THE SECRETARY 65 


were also for varying periods during the year several student assist- 
ants, including one assigned to the library by the school of library 
science of Simmons College, and a number of F. E. R. A. workers. 


EXCHANGE OF PUBLICATIONS 


The exchange work of the library continued much as usual. The 
number of packages, each of one or more publications, that came 
by mail was 20,376—a gain of 332 over 1934; and through the In- 
ternational Exchange Service, 1,880—a loss of 96. Of especial value 
to the Smithsonian deposit and the library of the National Museum 
were the sendings from the Arctic Institute, Leningrad; the Frank- 
lin Institute, Philadelphia; the Peabody Museum, Cambridge; the 
Geografsko Drustvo na Univerzi and Slovenska Matica, Ljubljana; 
the Sociedad Cientifica Argentina, Buenos Aires; and the Tokyo 
Geographical Society, Tokyo. Among the publications received 
were 4,787 dissertations. These came from the Academy of Freiberg, 
the universities of Basel, Berlin, Bern, Bonn, Breslau, Budapest, 
Erlangen, Freiburg, Giessen, Greifswald, Halle, Heidelberg, Helsing- 
fors, Jena, Johns Hopkins, Kiel, Konigsberg, Koln, Lund, Marburg, 
Pennsylvania, Rostock, Tiibingen, Utrecht, and Ziirich; and tech- 
nical schools at Berlin, Braunschweig, Delft, Dresden, Karlsruhe, 
and Ziirich. The number of letters written was 2,185. The library 
arranged for 264 new exchanges—26 more than the year before— 
and obtained 6,728 publications—an increase of 2,614 over 1934— 
especially requested by the various libraries of the Institution. 
Many of these items, however, it should be explained, were found 
among the Smithsonian duplicates. 


GIFTS 


As usual, there were many gifts. Prominent among them was a 
copy of the Yellow Book of Lecan, edited by Robert Atkinson, from 
the Royal Irish Academy. Others were Corpus Doctrinae Christianae 
(1570), by Philippum Melanthonem, from Mrs. Charles D. Walcott; 
Letters of Sir Thomas Bodley to Thomas James, First Keeper of 
the Bodleian Library, edited by G. W. Wheeler, from the librarian 
of the Bodleian; Catalogue of the Sanskrit and Prakrit Manuscripts 
in the Library of the India Office, volume 2, Brahmanical and Jaina 
Manuscripts (parts 1-2), by Arthur B. Keith, from the Secretary of 
State for India in Council; A Glossary of the Construction, Deco- 
ration, and Use of Arms and Armor, by George Cameron Stone, from 
the author; Official Records of the Union and Confederate Navies 
in the War of the Rebellion, in 31 volumes, from the Woman’s Col- 
lege Library, Duke University; The Flora of the Niagara Frontier 
Region, by Charles A. Zenkert, from the author; the Lichen Flora 


66 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


of the United States, by Bruce Fink, from the University of Michi- 
gan Press; Paintings from the Tomb of Rekh-Mi-Re at Thebes, by 
Norman de Garis Davies, from the Metropolitan Museum of Art; 
The Moths of South Africa, volume 2, by A. J. T. Janse, from the 
author; Wild Birds at Home, and The American Eagle, by Francis 
H. Herrick, from the author; Moss Flora of North America North 
of Mexico, volume 3, part 4, by A. J. Grout, from the author; Ferns 
of the Northwest, by Theodore C. Frye, from the author; Trees of 
the Southeastern States, by W. C. Coker and H. R. Totten, from 
W. C. Coker; Emile Berliner, Maker of the Microphone, by Frederic 
William Wile, from Mrs. Emile Berliner; Some Japanese Balloon 
Prints, by Bella C. Landauer, from the author; Problems of Petro- 
leum Geology, edited by W. E. Wrather and F. H. Lahee, from the 
American Association of Petroleum Geologists; Index to Jordan’s 
“Genera of Fishes”, volumes 1-4, by Hugh M. Smith, and Post- 
Card Pictures of Siamese Fishes, by Luang Masya Chitrakaru, from 
Hugh M. Smith; the Cyclist (London), 25 volumes (1879-1903), 
from A. E. Schaaf; Columbia Catalogues (1878-1911), by the Pope 
Manufacturing Co., from EK. H. Broadwell (through A. E. Schaaf) ; 
Narrative of the U. S. Exploring Expedition, during the years 1838, 
1839, 1840, 1841, 1842, volume 6 (atlas), by Commander Charles 
Wilkes, from Mrs. Isabel Brackenridge Hendry; Liberia Rediscovy- 
ered, by James C. Young, from Harvey S. Firestone; Contributions 
to Electricity and Magnetism (extracted from the Transactions of 
the American Philosophical Society, 1839, 1841), by Joseph Henry, 
from Riley D. Moore; Researches in Cancer: Part 1, 1896-1921, 
1922-1932, by C. W. G. Rohrer, from the author; John Adams’s 
Book, compiled by Henry Adams, from the Boston Athenaeum; 
Simplified Ballistics for Sportsmen, by Harry F. Geist, from the 
author; Air Conditioning, by E. W. Riesbeck, from the Goodheart- 
Willcox Co., Inc. 

Many publications were received from Mrs. Charles D. Walcott, 
and 22 volumes of a miscellaneous character from Mrs. George Cabot 
Lodge. Other gifts included 1,221 publications from the Geophysical 
Laboratory, 657 from the American Association for the Advance- 
ment of Science, several hundred from the Library of Congress, 
and a number from the Department of State, Department of Com- 
merce, Pan American Union, American Association of Museums, 
and Anthropological Society, Biological Society, and Helmintho- 
logical Society of Washington. The largest gift, however, came 
from the International Catalogue of Scientific Literature, which late 
in the year turned over to the library about 7,000 publications, chiefly 
scientific serials, embracing more than 100 titles and not a few long 
runs. These will be of great value to the library, especially as they 


REPORT OF THE SECRETARY 67 


contain many items that are lacking in its sets. Gifts also came 
from Secretary Abbot, Assistant Secretary Wetmore, and the fol- 
lowing other members and associates of the scientific staff: Dr. 
Paul Bartsch, Dr. R. S. Bassler, Dr. A. G. Boving, August Busck, 
A. H. Clark, H. B. Collins, W. L. Corbin, F. E. Fowle, Dr. Herbert 
Friedmann, L. C. Gunnell, Dr. Walter Hough, Dr. Ale’ Hrdlicka, 
Neil M. Judd, Dr. Remington Kellogg, Leon Kelso, Dr. E. G. 
Kirk, Dr. W. C. Mansfield, Dr. W. R. Maxon, G. S. Miller, Jr., Dr. 
G. S. Myers, A. J. Olmsted, R. G. Paine, Dr. Mary J. Rathbun, and 
Dr. Waldo Schmitt. 


SMITHSONIAN DEPOSIT 


The Smithsonian deposit is the main library of the Institution. 
The collection was kept at the Smithsonian until 1866 when, under a 
special act of Congress, it was deposited in the Library of Congress, 
where it has steadily grown, by regular additions from the Institu- 
tion, from 40,000 volumes, pamphlets, and charts to 540,000. It is 
distributed among the various divisions of the Library according to 
the nature of the material, but, as the deposit is largely scientific and 
technical in character and abounds in the reports, proceedings, and 
transactions of the learned institutions and societies of the world 
and in periodicals, both American and foreign, it is shelved for the 
most part in the Smithsonian and Periodical Divisions. It is the 
great central collection on which the other libraries of the Institution 
rely almost daily for necessary publications, many of which can be 
obtained nowhere else in Washington and some in few other places 
in America. 

To the deposit the Smithsonian library added during the fiscal 
year just closed 16,500 items, consisting of 2,639 volumes, 9,148 parts 
of volumes, 3,128 pamphlets, and 1,585 maps and charts. As in 
former years, several thousand statistical documents that the library 
received from foreign governments were forwarded, mainly un- 
opened, to the Division of Documents in the Library of Congress. 


NATIONAL MUSEUM LIBRARY 


Next in importance to the deposit, among the libraries of the 
Smithsonian Institution, is the library of the United States National 
Museum. At the close of the year it numbered 88,377 volumes and 
112,693 pamphlets, chiefly on natural history and technology. The 
additions were 11,321 publications, or 1,639 volumes, 8,697 parts of 
volumes, 980 pamphlets, and 5 charts. The staff sent 101 volumes 
to the bindery, recorded 8,709 periodicals, cataloged 2,592 publica- 
tions, and added 21,896 cards to the main catalogs and shelf lists. 

36923—36—6 


68 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


They filed 469 cards of the Wistar Institute and 3,774 of the Concil- 
ium Bibliographicum, besides sorting 8,871 of the latter for the 
subject files of the curators. They assigned to the sectional libraries 
4,233 current publications—as well as 6,512 reprints that had accumu- 
lated over a period of years—and lent to the scientific staff 9,636, of 
which 2,489 were borrowed from the Library of Congress, especially 
the Smithsonian deposit, and 442 from other libraries, including 15 
from outside of Washington. They made 486 loans to other libra- 
ries—an increase of 326 over the year before. They also assisted the 
libraries of the Bureau of American Ethnology, National Gallery 
of Art, and National Zoological Park, and advanced materially the 
work of reorganizing the general collection on technology and the 
special collections on administration and engineering in the old 
Museum. The requests for reference and bibliographical service 
were more numerous than usual and frequently required hours and 
even days of research not only in the Museum library but in the 
Library of Congress and elsewhere. 

The sectional libraries, which number 35, were not changed during 
the year. They are as follows: 


Administration Invertebrate paleontology 
Administrative assistant’s office Mammals 

Agricultural history Marine invertebrates 
Anthropology Medicine 

Archeology Minerals 

Biology Mollusks 

Birds Organic chemistry 
Botany Paleobotany 
Echinoderms Photography 

Editor’s office Physical anthropology 
Engineering Property clerk’s office 
Ethnology Reptiles and batrachians 
Fishes Superintendent’s office 
Foods Taxidermy 

Geology Textiles 

Graphie Arts Vertebrate paleontology 
History Wood technology 

Insects 


OFFICE LIBRARY 


The Smithsonian office library is shelved partly in or near the 
offices of the administrative staff and in the main reference and 
exhibition rooms of the Institution, and partly in the library of 
the old Museum. It numbers approximately 30,000 items and com- 
prises, in addition to an extensive collection of works of general 
reference and publications of learned institutions and societies, a 
small rare-book collection, several important special collections on 
history and the natural sciences, and many books and periodicals 


REPORT OF THE SECRETARY 69 


of less scholarly interest designed primarily for the home hours of 
the employees. 

The additions to the library in 1935 were 240 volumes, 773 parts 
of volumes, and 22 pamphlets. The staff entered 3,448 periodicals, 
prepared and filed 1,683 catalog cards, classified 3,665 aeronautical 
clippings and mounted 1,415, made 146 cards for the aeronautical 
file, received 2,252 visitors, and loaned 2,954 publications, These 
statistics include some for the technological library of the National 
Museum, inasmuch as both collections are served, for the most part, 
by the same library attendants. 


BUREAU OF AMERICAN ETHNOLOGY LIBRARY 


The library of the Bureau of American Ethnology concerns itself 
chiefly with the primitive peoples of the Western Hemisphere, nota- 
bly the North American Indians. It consists of 31,101 volumes 
and 17,189 pamphlets, besides important manuscripts, vocabularies, 
znd photographs. It was increased during the year by 400 volumes 
and 94 pamphlets. The staff cataloged 788 publications, recorded 
3,125 periodicals, added 3,865 cards to the catalog, made 1,069 loans, 
and rendered even more than usual reference and bibliographical 
service to the scientists of the Bureau and other investigators. The 
regular attendants had the assistance at different times during the 
year of two trained employees from other libraries of the Institu- 
tion, who advanced materially the preparation of cards for the 
Bureau’s catalog, as well as for the union catalog of the Smith- 
sonian, and began the checking of the sets of society publications, 
with a view to obtaining needed numbers by exchange while they 
are still available; 81 of these were found in the duplicate collection 
of the Institution. 


ASTROPHYSICAL OBSERVATORY LIBRARY 


The library of the Astrophysical Observatory deals largely with 
meteorology and astrophysics. Its accessions of 57 volumes, 1,033 
parts of volumes, and 75 pamphlets increased the collection during 
the fiscal year to 4,624 volumes and 3,903 pamphlets. The number 
of cards added to the catalog was 1,633. The loans were 127. 


RADIATION AND ORGANISMS LIBRARY 


The library of radiation and organisms, the youngest and smallest 
unit in the Smithsonian library system, is a collection of 207 vol- 
umes, 14 pamphlets, and 6 charts pertaining mainly to the radiation 
ef the sun and its effect on plant and animal life. It was increased 
in 1935 by 6 volumes, 224 parts of volumes, and 2 pamphlets. 


70 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


LANGLEY AERONAUTICAL LIBRARY 


The Langley aeronautical library is the Institution’s well-known 
collection of aeronautical publications, which was brought together 
in the first instance by Samuel Pierpont Langley, and later increased 
by gifts from Alexander Graham Bell, Octave Chanute, and James 
Means, and since by regular additions from the Smithsonian. In 
1930 most of the library was sent as a special deposit to the Library 
of Congress, where, under its own name and bookplate, it supple- 
ments in important respects for research purposes the Government’s 
chief collection. The library has 2,009 volumes, 1,179 pamphlets, 
and 29 charts. Among its items are many early aeronautical maga- 
zines, as well as manuscripts, photographs, and newspaper clippings. 
The accessions in 1935 were 31 volumes, 538 parts of volumes, and 
51 pamphlets. In response to special requests from the division of 
aeronautics in the Library of Congress, the Smithsonian library ob- 
tained 78 publications needed in the Langley sets. 


NATIONAL GALLERY OF ART LIBRARY 


The library of the National Gallery of Art has no regular trained 
attendant. The staff of the Smithsonian and Museum libraries, as- 
sisted by several F. E. R. A. workers, however, were able to keep up 
most of the current work of the library to continue, in a measure, 
the task of bringing together and cataloging its collections, which 
was begun several years before. The accessions were 316 volumes 
and 3806 pamphlets, which increased the library to 2,447 volumes and 
2,030 pamphlets. The staff entered 1,621 periodicals, cataloged 672 
publications, added 2,341 cards to the catalog and shelf list, prepared 
543 cards for other files, and labeled 668 books. Of the accessions, 
142 were obtained by special exchange correspondence. Toward the 
close of the year, 1,935 publications were transferred to the library 
from the section of administration in the National Museum. 


FREER GALLERY OF ART LIBRARY 


The library of the Freer Gallery of Art received further expert 
attention in 19385. Consequently by the close of the fiscal year the 
dictionary catalog, which had been begun several years before, was 
finished to date, except for a number of the Chinese and Japanese 
items. The staff cataloged 225 publications, prepared 3,018 cards 
for the library files, as well as 658 for the union catalog at the 
Smithsonian Institution, and sent 19 volumes to the bindery. The 
main collection, which numbers 5,297 volumes and 3,521 pamphlets, 
was increased by 826 volumes, 170 parts of volumes, and 56 pam- 
phlets; the field collection by 369 volumes, 627 parts of volumes, 103 


REPORT OF THE SECRETARY rial 


pamphlets, and 69 maps. The latter, which had been for some years 
in China, where until recently the Freer was carrying on important 
archeological investigations, was brought back to Washington and 
deposited in the Gallery. During its sojourn abroad it grew consid- 
erably and now numbers 1,920 volumes, 640 pamphlets, and 69 maps. 
Together the two collections, which relate almost entirely to the 
chief interests of the Freer—namely, the art and culture of the Far 
East, India, Persia, and the nearer East, and the activities of certain 
American painters, notably James McNeill Whistler, many of whose 
works are owned by the Gallery—contain not a few rare items and 
supplement to an important degree the collections at the Library of 
Congress, particularly those in the manuscript, fine arts, and orien- 
tal divisions. The treasures of the library are, of course, the 
“Washington Manuscripts” of the Bible, dating from the fourth 
and fifth centuries. 


NATIONAL ZOOLOGICAL PARK LIBRARY 


The library of the National Zoological Park comprises 1,412 vol- 
umes and 1,962 pamphlets chiefly on the care, study, and exhibition 
of wild animals. ‘The accessions in 19385 were 82 volumes, 107 parts 
of volumes, and 102 pamphlets. Besides these, 2,394 publications of 
special interest to the scientists of the Park were selected late in 
the year from the duplicates at the Smithsonian Institution and the 
Library of Congress and will in due time be made part of the col- 
lection. The number of cards added to the catalog was 540. Two 
trained assistants were employed for brief periods during the year. 


SUMMARY OF ACCESSIONS 


The accessions for the fiscal year may be summarized as follows: 


Pamphlets 


Library Volumes pedlcharts Total 

‘Alstrophysical’@ bsenvatory on. a2) 2 sosel os. Soseek LU ssi e ee 57 75 132 
Bunresawiof Americanvl: (unologyi=-—=.--- 2+ a2 soe one eos eann ea ec eee 400 94 494 
reer GalioryiotArte_- 4 355 Si the tea Ck Paes sk eee ee 695 228 923 
anrleyvAeronauticals: =... 22-5 2 ee oo oa ese 31 61 82 
WationaltG alleryiofArt 2-22. esate edie Seba 316 306 622 
National: Zoological Park: +159 2 aso ee eS 82 102 184 
Radiation andiOrganisms= 15) Sess Re ee ee eet 6 2 8 
Smithsonian Deposit, Library of Congress-------.----------------- 2, 639 4, 713 7, 352 
Smitiisonian‘Ofiices+-— 2seeses - 29033 te Ee en eee 240 22 262 
Wnited ‘States! National Museum=_- = 22225 -- = - -= ee 1, 639 985 2, 624 

Wty Re eae oe Oe ee ee ee 6, 105 6, 578 12, 683 


These accessions, together with the additions represented by the 
Freer field collection, incident to its being brought to Washington 
and given a place in the library of the Gallery, increased the ap- 


72 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


proximate number of publications in the library system of the Insti- 
tution to the following: 


WUC GS 2a Sn I ee ce se 605, 117 
Pamphlets: 22 ¥ tes RS Oe 6 a ee ee ee 215, 042 
Ghantsis 3.145) ene Edd eect ip exes | Ree ieee art Epa ary eee 28, 358 

Titel 23 SRC hte cL Rs GS se ie) ae PE 848, 517 


This total does not, of course, include the many thousands of 
volumes that are not yet completed, bound, or cataloged. 


SPECIAL ACTIVITIES 


Besides meeting the current demands, the staff continued several 
important undertakings left over from the C. W. A. days, and en- 
gaged in two or three new ones, related to the general work of re- 
organizing the Smithsonian library system that was begun some 
years ago. In carrying out these special projects, it was assisted 
by a number of F. E. R. A. workers, who were assigned to the Insti- 
tution for different periods during the year. 

Among the projects, two were outstanding. The work of sorting 
and arranging the foreign scientific and technical duplicates in the 
west stacks of the Smithsonian Building and labeling the shelves of 
the entire collection, both American and foreign, was carried toward 
completion. One result of this undertaking was that, of the 6,728 
publications especially requested during the year by the libraries 
of the Institution, about 40 percent were found in this collection. 
It is expected that as the checking of the standard sets in the libraries 
goes on, thousands more of the items lacking will be available here. 
Another result was that it was possible for the Smithsonian library 
to cooperate, to the extent of more than 1,100 numbers, with the 
American Association for the Advancement of Science in its en- 
deavor to form a set of the publication Science for its office use—a 
slight return for the many generous gifts that the Association has 
made to the library in recent years; it was also possible for the 
library to present 283 numbers of the Journal of the Washington 
Academy of Sciences, as suggested by the Library of Congress, to 
the Akademiia Nauk, Leningrad, to help that institution fill out 
its set. Still another result was that substantial runs of various 
important serials were assembled, to be filed later in the reserve 
section of the library for use either to reinforce the main sets or to 
replace them when they are worn out. 

The second outstanding project was the sorting and reassignment 
of the contents of the sectional libraries of administration and en- 
gineering. The material no longer needed by the officials concerned 
was disposed of in various ways. The work of taking inventory and 
arranging the items to be retained in the sections was also undertaken. 


REPORT OF THE SECRETARY 73 


Another activity of considerable importance was the careful ex- 
amination of a large accumulation of maps—the second to be treated 
in. this manner the last few years—with the result that about 500 
were chosen for the Museum lbrary and 1,576 sent to the Smith- 
sonian deposit, where they would be of service in completing the 
files of the Library of Congress and still be available to the scientists 
of the Institution as well as to investigators outside. 

Among other activities a few should be mentioned. Special send- 
ings of duplicates were made to Harvard, Yale, Princeton, Brown, 
the University of Pennsylvania, Vanderbilt, and the Marine Biolog- 
ical Laboratory at Woods Hole, and 150 or more publications, both 
old and new, which were needed by the National Museum and the 
National Gallery of Art, were obtained in exchange; about 20,000 
publications, many of them Government documents, not required 
by the library, were sent back to the issuing bureaus or transferred 
to various Federal libraries; 2,750 returned publications of the Smith- 
sonian and its branches were checked and 351 found that were needed 
in the library sets; the dictionary index of Smithsonian publica- 
tions was kept up to date, and considerable progress was made on 
the index of exchange relations; the union catalog was also advanced, 
as the following table will show: 


pVolumeszeatal og eda = = se aes Se oe ee 4, 239 
Pampnletsreaital OS Coe Ss ese Se ee 2, 514 
ORT SaaS Se Ceara 0 Ch ca ae cee 14 
ING WaSseLialy entries in ad emesis ae eee ear ADE) Sa ea anes 121 
Typed cards added to catalog and shelf list________________ 5, 866 


Library of Congress cards added to catalog and shelf list__ 16, 085 
CONCLUSION 


The year, then, was one of noteworthy progress, despite the re- 
grettable fact that it was again found necessary, owing to economic 
conditions, to curtail the funds, almost to the vanishing point, cus- 
tomarily allotted to the library for binding and for the employment 
of extra trained assistants. 

Respectfully submitted. 

Wiuu1am L. Corsi, Librarian. 

Dr. C. G. Axngor, 


Secretary, Smithsonian Institution. 


APPENDIX 10 
REPORT ON PUBLICATIONS 


Sir: I have the honor to submit the following report on the publi- 
cations of the Smithsonian Institution and the Government branches 
under its administrative charge during the year ended June 30, 
1935: 

The Institution published during the year 32 papers in the series 
of Smithsonian Miscellaneous Collections, 1 annual report and pam- 
phlet copies of the 20 articles contained in the report appendix, and 
1 special publication. The United States National Museum issued 1 
annual report and 7 separates from the Proceedings. The Bureau 
of American Ethnology issued 1 annual report. The Freer Gallery 
of Art issued 1 publication in the series of Oriental Studies. 

Of the publications there were distributed 124,186 copies, which 
included 48 volumes and separates of the Smithsonian Contributions 
to Knowledge, 64,218 volumes and separates of the Smithsonian Mis- 
cellaneous Collections, 15,799 volumes and separates of the Smith- 
sonian Annual Reports, 3,800 Smithsonian special publications, 26,592 
volumes and separates of the National Museum publications, 11,955 
publications of the Bureau of American Ethnology, 55 publications 
of the National Gallery of Art, 1,281 publications of the Freer Gal- 
lery of Art, 40 Annals of the Astrophysical Observatory, 22 reports 
of the Harriman Alaska Expedition, and 376 reports of the American 
Historical Association. 


SMITHSONIAN MISCELLANEOUS COLLECTIONS 


Of the Smithsonian Miscellaneous Collections, volume 89, there 
was issued the title page and table of contents; volume 91, 5 papers; 
volume 92, 18 papers and title page and table of contents; volume 93, 
9 papers; and volume 94, 5 papers, making 32 papers in all, as 
follows: 

VOLUME 89 


Title page and table of contents. (Publ, 3331.) 
VOLUME 91 


Reports on the collections obtained by the first Johnson-Smithsonian Deep- 
Sea Expedition to the Puerto Rican Deep. 

No. 16. New marine mollusks, by Lois F. Corea. 9 pp., 3 pls. (Publ. 3258.) 
September 18, 1934. 


74 


REPORT OF THE SECRETARY 75 


No. 17. New sponges from the Puerto Rican Deep, by M. W. de Laubenfels. 
28 pp. (Publ. 3283.) December 24, 1934. 

No. 18. New monogenetic trematodes from marine fishes, by Emmett W. 
Price. 3 pp.,1 pl. (Publ. 3286.) November 8, 1934. 

No. 19. New parasitic copepods, by Charles Branch Wilson. 9 pp., 3 pls. 
(Publ. 3298.) April 8, 1935. 

No. 20. Bollmania litura, a new species of goby, by Isaac Ginsburg. 3 pp., 
1 pl. (Publ. 3299.) April 10, 1935. 


VOLUME 92 


No, 1. The hypotrochanteric fossa of the femur, by AleS Hrdlitka. 49 pp., 
14 pls. (Publ. 3250.) August 4, 1934. 

No. 2. New fresh-water mollusks from northern Asia, by Alan Mozley. T pp., 
1 pl. (Publ. 3253.) August 8, 1934. 

No. 3. Lethal response of the alga Chlorella vulgaris to ultraviolet rays, by 
Florence HE. Meier. 12 pp., 3 pls. (Publ. 3254.) August 6, 1934. 

No. 5. Colonial formation of unicellular algae under various light conditions, 
by Florence E. Meier. 14 pp., 3 pls. (Publ. 3256.) October 8, 1934. 

No. 6. Effects of intensities and wave lengths of light on unicellular green 
algae, by Florence E. Meier. 27 pp., 3 pls. (Publ. 3257.) October 11, 1934. 

No. 7. Herpetological collections from the West Indies made by Dr. Paul. 
Bartsch under the Walter Rathbone Bacon Scholarship, 1928-1930, by 
Doris M. Cochran. 48 pp. (Publ. 3259.) October 15, 1954. 

No. 8. Samuel Pierpont Langley, by C. G. Abbot. 57 pp., 6 pls. (Publ. 3281.) 
August 22, 1934. 

No. 9. The skeletal musculature of the blue crab, Callinectes sapidus Rathbun, 
by Doris M. Cochran. 76 pp., 30 figs. (Publ. 3282.) January 22, 1935. 

No. 10. Recent discoveries of Cambrian beds in the northwestern United 
States, by Charles Elmer Resser. 10 pp. (Publ. 3284.) November 6, 1934. 

No. 11. Phototropic sensitivity in relation to wave length, by Earl S. Johns- 
ton. 17 pp., 2 pls., 4 figs. (Publ. 3285.) December 6, 1934. 

No. 12. Remarkable lightning photographs, by C. G. Abbot. 3 pp., 1 pl. 
(Publ. 3287.) November 2, 1934. 

No. 13. The standard scale of solar radiation, by C. G. Abbot and L. B. 
Aldrich. 8 pp. (Publ. 3288.) November 2, 1934. 

No. 14. Archeological investigations in the Bay Islands, Spanish Honduras, by 
William Duncan Strong. 176 pp., 33 pls., 88 figs. (Publ. 3290.) February 12, 
1935. 

Title page and table of contents. (Publ. 3332.) 


VOLUME 93 


No. 1. The effect of ultraviolet radiation on the ova of the ascarid round- 
worms Tozocara canis and Toxascaris leonina, by W. H. Wright and E, D. 
McAlister. 13 pp. (Publ. 3291.) December 26, 1934. 

No. 2. Mud shrimps of the Atlantic coast of North America, by Waldo L. 
Schmitt. 21 pp., 4 pls. (Publ. 3292.) February 15, 1935. 

No. 3. New earthworms from China, with notes on the synonymy of some 
Chinese species of Drawina and Pheretima, by G. HE. Gates. 19 pp., 15 figs. 
(Publ. 3293.) February 27, 1935. 

No. 4. Pioneer wind tunnels, by N. H. Randers-Pehrson. 20 pp., 4 pls. 
(Publ. 3294.) January 19, 1935. 


76 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


No. 5. Nomenclature of some Cambrian trilobites, by Charles Elmer Resser. 
46 pp. (Publ. 3295.) February 14, 19385. 

No. 6. Ear exostoses, by AleS Hrdlitka. 98pp.,5 pls. (Publ. 3296.) May 14, 
1935. 

No. 7. The Christiansen light filter: Its advantages and limitations, by HE. D. 
McAlister. 12 pp., 2 pls., 4 figs. (Publ. 3297.) April 2, 1935. 

No. 8. The classification of the Edrioasteroidea, by R. 8S. Bassler. 11 pp., 1 pl. 
(Publ. 3301.) April 4, 1935. 

No. 9. New species of Tertiary Cheilostome Bryozoa from Victoria, Australia, 
by Ferdinand Canu and Ray S. Bassler. 54 pp.,9 pls. (Publ. 3302.) April 26, 
1935. 

VOLUME 94 


No. 1. The darker side of dawn, by Ananda K. Coomaraswamy. 18 pp. 
(Publ. 3304.) April 17, 1935. 

No. 2. Concerning the Badianus manuscript, an Aztec herbal, “ Codex Bar- 
berini, Latin 241” (Vatican Library), by Emily Wolcott Emmaert. 14 pp., 4 pls. 
(Publ. 3329.) May 18, 1935. 

No. 8. Thomas Lincoln Casey and the Casey collection of Coleoptera, by 
L. L. Buchanan. 15 pp.,1 pl. (Publ. 3330.) June 8, 1935. 

No. 4. A Folsom complex: Preliminary report on investigations at the Lin- 
denmeier site in northern Colorado, by Frank H. H. Roberts, Jr. 35 pp., 16 
pls., 3 figs. (Publ. 3333.) June 20, 1935. 

No. 5. Wave lengths of radiation in the visible spectrum inhibiting the ger- 
mination of light-sensitive lettuce seed, by Lewis H. Flint and HE. D. McAlister, 
11 pp., 5 figs. (Publ. 3834.) June 24, 1935. 


SMITHSONIAN ANNUAL REPORTS 


Report for 1933—The complete volume of the Annual Report of 
the Board of Regents for 1933 was received from the Public Printer 
in June 1935. 


Annual Report of the Board of Regents of the Smithsonian Institution show- 
ing operations, expenditures, and condition of the Institution for the year end- 
ing June 30, 1933. xiv-+468 pp., 56 pls., 67 text figs. (Publ. 3260.) 


The appendix contained the following papers: 


How the sun warms the earth, by C. G. Abbot. 

Gravitation in the solar system, by Ernest W. Brown. 

The structure and rotation of the galaxy, by J. S. Plaskett. 

The contents of interstellar space, by C. G. Abbot. 

Some points in the philosophy of physics: Time, evolution, and creation, by 
H. A. Milne, F. BR. S. 

Stands science where she did? by Ivor Thomas. 

High voltage, by Karl T. Compton. 

The battle of the alchemists, by Karl T. Compton. 

Romance or science? by Paul R. Heyl. 

Origin of folded mountains, by W. F. Prouty. 

Meteorite craters as topographical features on the earth’s surface, by Dr. 
L. J. Spencer, F. R. S. 

A geologist’s paradise, by R. S. Bassler. 

Nature’s own seaplanes, by Carl L. Hubbs. 


REPORT OF THE SECRETARY 77 


The microscopic plant and animal world in ultraviolet light, by Florence H. 
Meier. 

The history of an insect’s stomach, by R. E. Snodgrass. 

Ticks and the role they play in the transmission of diseases, by F. C. Bishopp. 

The forehead, by AleS Hrdli¢ka. 

The historical significance of Tepe Gawra, by H. S. Speiser. 

Indian manuscripts of southern Mexico, by Herbert J. Spinden. 

Archeology of the Bering Sea region, by Henry B. Collins, Jr. 


Report for 1934.—The report of the Secretary, which included 
the financial report of the executive committee of the Board of 
Regents, and will form part of the annual report of the Board of 
Regents to Congress, was issued in December 1934. 

Report of the Secretary of the Smithsonian Institution and financial re- 


port of the executive committee of the Board of Regents for the year ending 
June 30, 1934. 78 pp., 1 pl. (Publ. 3289.) 


The report volume, containing the general appendix, was in press 
at the close of the year. 


SPECIAL PUBLICATIONS 


Explorations and Field-Work of the Smithsonian Institution in 1934. 88 pp., 
84 pls. (Publ. 3300.) April 22, 1935. 


PUBLICATIONS OF THE UNITED STATES NATIONAL MUSEUM 


The editorial work of the National Museum has continued during 
the year under the immediate direction of the editor, Paul H. 
Oehser. There were issued 1 annual report and 7 separates from 
the Proceedings, as follows: 


MUSEUM REPORT 


Report on the progress and condition of the United States National Museum 
for the year ended June 30, 1934. 109 pp. 


PROCEEDINGS: VOLUME 83 


No. 2972. Corynecrinus, a new Devonian crinoid genus. By Edwin Kirk. 
Pp. 1-7, pl. 1. 

No. 2973. American muscoid flies of the genera Ceratomyiella and Paradi- 
dyma. By H. J. Reinhard. Pp. 948. 

No. 2974. Revision of the American two-winged flies belonging to the genus 
Cuphocera. By H. J. Reinhard. Pp. 45-70. 

No. 2975. Some fossil corals from the West Indies. By John W. Wells. 
Pp. 71-110, pls. 2-5. 

No. 2976. Fossil hares from the late Pliocene of southern Idaho. By C. Lewis 
Gazin. Pp. 111-121, figs. 1-5. 

No. 2977. Parasites of fishes in Galveston Bay. By Asa C. Chandler. 
Pp. 123-157, pls. 6-12. 

No. 2978. On the Reptilia of the Kirtland formation of New Mexico, with 
descriptions of new species of fossil turtles. By Charles W. Gilmore. Pp. 
159-188, figs. 6-17, pls. 138-18. 


78 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Beginning with volume 83 of the Proceedings, covers for separate 
papers were omitted, and pages, figures, and plates were numbered 
consecutively throughout each volume, instead of each article sep- 
arately, as has been the practice for many years. 


INDEX OF MUSEUM PUBLICATIONS 


Under the direction of the Museum editor, work was continued 
on the index of Museum publications, which has been in progress 
2 years. The index is now completed through Bulletin 48 and 
Proceedings, volume 16. About 30,000 cards were added during the 
year, making a total of 115,000, exclusive of 79,000 not entered in 
the master file. The index, in its current form, is available to the 
curators and others who may have occasion to use it. It is hoped 
to be able to publish at least some of it by 1946, the Smithsonian 
Institution Centenary. 


PUBLICATIONS OF THE BUREAU OF AMERICAN ETHNOLOGY 


The editorial work of the bureau has continued under the im- 
mediate direction of the editor, Stanley Searles. During the year 
one annual report was issued. 

Fifty-first Annual Report of the Bureau of American Ethnology to the 
Secretary of the Smithsonian Institution, 1933-1934. 8 pp. 

Progress was made on verifying the manuscript index of the Bul- 
letins 1-100 of the Bureau, and the index to the six volumes of 
Schoolcraft’s work entitled “ Indian Tribes ” was well advanced. 


FREER GALLERY OF ART PUBLICATIONS 


Oriental Studies, No. 2. A descriptive and illustrated catalogue of miniature 
paintings of the Jaina Kalpasiitra as executed in the early western Indian 
style. By W. Norman Brown. 4°. 66 pp., 45 pls. (Publ. 3252.) December 
14, 1934. 


REPORT OF THE AMERICAN HISTORICAL ASSOCIATION 


The annual reports of the American Historical Association are 
transmitted by the association to the Secretary of the Smithsonian 
Institution and are communicated by him to Congress, as provided 
by the act of incorporation of the association. 

The annual report for 1932 was issued during the year. The sup- 
plemental volumes to Reports for 1931 and 1932 were in press at the 
close of the year. 


REPORT OF THE NATIONAL SOCIETY, DAUGHTERS OF THE AMERICAN 
REVOLUTION 


The manuscript of the Thirty-seventh Annual Report of the 
National Society, Daughters of the American Revolution, was trans- 
mitted to Congress, in accordance with law, March 14, 1935. 


REPORT OF THE SECRETARY 79 


ALLOTMENTS FOR PRINTING 


The congressional allotments for the printing of the Smithsonian 
Reports to Congress and the various publications of the Govern- 
ment bureaus under the administration of the Institution were vir- 
tually used up at the close of the year. The appropriation for the 
coming year ending June 30, 1936, totals $25,500, allotted as follows: 


Snichsonian Instiiwtl one ene ee $12, 250 
National Museum sae See Urea ees 8 es ee 7, 050 
Bureaguvof Americans h thnologys se ee ee 2, 000 
AMETICAND HAStOricall yA SSOCIAtION saan eae 4, 200 


Respectfully submitted. 
W. P. True, Editor. 
Dr. C. G. Apsor, 
Secretary, Smithsonian Institution. 


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REPORT OF THE EXECUTIVE COMMITTEE OF 
THE BOARD OF REGENTS OF THE SMITH- 
SONIAN INSTITUTION 


FOR THE YEAR ENDED JUNE 30, 1935 


To the Board of Regents of the Smithsonian Institution: 


Your executive committee respectfully submits the following re- 
port in relation to the funds of the Smithsonian Institution, together 
with a statement of the appropriations by Congress for the Govern- 
ment bureaus in the administrative charge of the Institution. 


SMITHSONIAN ENDOWMENT FUND 


The original bequest of James Smithson was £104,960,8s.6d. ; 

$508,318.46. Refunds of money expended in prosecution of the 

claim, freights, insurance, ete., together with payment into the 

fund of the sum of £5,015, which had been withheld during the 

lifetime of Madame de la Batut, brought the fund to the amount 

(0) irate eee eee $550, 000. 00 
Since the original bequest the Institution has received gifts from 

various sources, chiefly in the years prior to 1893, the income 

from which may be used for the general work of the Institution. 
To these gifts has been added capital from savings on income, 

gain from sale of securities, etc., bringing the total endowment 

for feneral purposes to, the amount) Of. 2- = ee 1, 106, 803.19 


The Institution holds also a number of endowment gifts the 
income of each being restricted to specific use. These are invested 
and stand on the books of the Institution as follows: 


Arthur, James, fund, income for investigations and study of sun 


ATHOMLe CUTE UOC GH CxS MIN sees Narn Ee ee eee $42, 596. 31 
Bacon, Virginia Purdy, fund, for a traveling scholarship to investi- 

gate fauna of countries other than the United States____-_________ 53, 361. 64 
Baird, Lucy H., fund, for creating a memorial to Secretary Baird__ 9,353.50 
Barstow, Frederic D., fund, for purchase of animals for the 

ZOGLOTICA lee an kee ce en ee oe eee 810. 18 
Canfield Collection fund, for increase and care of the Canfield 

COMCCHONTOL-MINGH ALS =! = Sate kee = teas eee eee ae anne i and bole Der 40, 736. 41 
Casey, Thomas L., fund, for maintenance of the Casey collection and 

promotion of researches relating to Coleoptera________-_--____-__ 8, 231. 31 
Chamberlain, Francis Lea, fund, for increase and promotion of Isaac 

lea collectionsot.czems:andmollusks=) 22-252 ee 29, 993. 32 


Hodgkins fund, specific, for increase and diffusion of more exact 
knowledge in regard to nature and properties of atmospheric air__ 100, 000. 00 


Special Research fund, gift, in form of real estate____________-____- 20, 946. 00 
Hughes, Bruce, fund, to found Hughes alcove_-__-_--_____-____-____ 16, 186. 12 
Myer, Catherine Walden, fund, for purchase of first-class works of 

art for the use of and benefit of the National Gallery of Art_____~ 20, 189. 80 


82 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Pell, Cornelia Livingston, fund, for pon intcrainiee of Alfred Duane 


Pell. collection== 22324232222 {eee See ee eee ae $2, 571. 54 
Poore, Lucy T. and George W., fund, for general use of the Institution 

when principal amounts to the sum of $250,000__________-________ 65, 275. 28 
Reid, Addison T., fund, for founding chair in biology in memory of 

Asher TunisSs.222 222 Ee ERE eo tee 29, 968. 99 
Roebling fund, for care, improvement, and increase of Roebling col- 

lection: of: minerals: 2648 % . ce serrate ak Se ee ee 128, 537. 36 
Rollins, Miriam and William, fund, for investigations in physics and 

chemistry 2 =222%2t4 24 ot = = Bt Pe ee ee ee 55, 727. 40 
Springer, Frank, fund, for care, ete, of Springer collection and 

DTT OS 7h Wee pep eA hl Led eet Sie! lari Blt sei a ele a 14, 883. 04 


Walcott, Charles D. and Mary Vaux, research fund, for development 
of geological and paleontological studies and publishing results 


thereof 220 steetcieT 2 8 Bn cee A eb pick A an olen 11, 062. 72 
Younger, Helen Walcott, fund, held in trust___-_--_----____-_----~_ 50, 112. 50 
Zerbee, Frances Brincklé, fund, for endowment of aquaria______-_~-_ 810. 61 


Total endowment for specific purposes other than Freer 
endOwmen ti an ee eee ee Ree ae a ee re ee 701, 304. 03 


The capital funds of the Institution, except the Freer funds, are 
invested as follows: 


United 
Consoli- Separate 
Fund Tee datedfund| fund Total 

Arthur, James: = see ss hss SEES EE ee ei oR ee $42,596) 31 [20.2232 $42, 596. 31 
Bacon; Virginlasburdy. 2526-2 -- eos oe eel ee ae ee oe PREBLE GES |e Se 53, 361. 64 
RSI ATs UIC YE ee ee Ne = ad Eins Pe (ER ee OF353 "50M eee 9, 353. 50 
Barstow, Predere 22-5502 o se eee eee ee | ae eeeee S1Os 18 ieee. ees 810. 18 
@anficlat@ollection==--202 ee ee 405736041 | ee oe 40, 736. 41 
Casey, VUNOrMas iiss ee ee Se Ped re en ee eee 180-2 51 9 1 ee ee 8, 231.31 
Cham berlains:= 2S we Mie Bier ee ee eae meat ee 295998 32\ hates £ Fees 29, 993. 32 
Hodekins|(specifie) === se ae $100(000 |= -=222 Sea ee 100, 000. 00 
Special*Researcht fund 22s Se ee ee ee ee | ee eae eee $20, 946. 00 20, 946. 00 
Hughes “Brice s. 2222-2226 al an Bee ee be eae See eee 16;136512')-2 22222 16, 136. 12 
Myer Catherine Wek. 28 eo eae ee oh ern eee | nee eee 20"189"80)| 2225. Fase 20, 189. 80 
Pell Cornelia) Livingston=------ > | bee DANY (tal eee 2, 571. 54 
Poore, Lucy T. and George W------ aypys eitp RE Re SY by DENG TORMSSA GOD 2) = ee 65, 275. 28 
Reid wAddisonUT ose aoe oe ee 11,000 | 14, 468. 99 4, 500. 00 29, 968. 99 
Roebling Collection :.<2-<<=s2e2serz2 tes soe eee | eS 128;637-36"|s2-s200 See 128, 537. 36 
Rollins;};Miriamiand William 222-722 a |e eee 46, 227. 40 9, 500. 00 55, 727. 40 

Smithsonian unrestricted funds: 
Specie sn hss = ee ee ea ee ee ee 1, 400. 00 1, 400. 00 
Avery. 39, 660. 24 = 53, 660. 24 
Endowment. 162, 714. 81 162, 714. 81 
abel! (== 282) oe ee oe ee a Slivg pepe pOU0 We cee oe ose 500. 00 
Hachenberg 4, 285. 33 4, 285. 33 
Hea 429.95 |_- 2, 929, 95 
1, 288. 14 1, 288, 14 
Hodeving (general) _- 31, 942. 53 147, 942. 53 
aren 1, 300. 23 728, 940. 23 
Rhees 503. 86 1, 093. 86 
Sanford 948. 10 2, 048. 10 
Springer coe ee ee ee ES ee oe 2 ee 14, 883. 04 
Walcott, Charles D. and Mary Vaux_-_.-_------------- pens Sey SORES 11, 062. 72 11, 062. 72 
Younger; Helenwwalcott=_ 223 2 2 Pepe S tee os) (eee aes 50, 112. 50 50, 112. 50 
Zerbee; MrancesvErinck 6 see see ee ee eee |p eeeeeeee SIONGI) | a-ssose eee 810. 61 
Total. -22: 2022 5sccccss-s 532 5sesiscseesesesssese5 1, 000, 000 | 706, 765.68 | 101,341.54 |1, 808, 107. 22 


FREER GALLERY OF ART FUND 


Early in 1906, by deed of gift, Charles L. Freer, of Detroit, gave 
to the Institution his collection of Chinese and other oriental objects 
of art, as well as paintings, etchings, and other works of art by 


REPORT OF THE EXECUTIVE COMMITTEE 83 


Whistler, Thayer, Dewing, and other artists. Later he also gave 
funds for the construction of a building to house the collection, and 
finally, in his will, probated November 6, 1919, he provided stock 
and securities to the estimated value of $1,958,591.42 as an endow- 
ment fund for the operation of the gallery. From the above date 
to the present time these funds have been increased by stock divi- 
dends, savings of income, etc., to a total of $4,769,362.53. In view 
of the importance and special nature of the gift and the require- 
ments of the testator in respect to it, all Freer funds are kept sepa- 
rate from the other funds of the Institution, and the accounting in 
respect to them is stated separately. 
The invested funds of the Freer bequest are classified as follows: 


Courtzand?croundssfun (sees ee = eee ee ee ee ee $534, 318. 17 
Court and grounds maintenance fund____--____-___--__--_-___- 134, 352. 68 
Curators: fun Se ee ee ee OR NA Nae SO ee 543, 728. 40 
Residuarys lesa cyses ose Se a es Lee es 3, 556, 963. 28 
4, 769, 362. 53 
SUMMARY 

Invested endowment for general purposes__________-___________ $1, 106, 803. 19 

Invested endowment for specific purposes other than Freer 
(STEKO UR TOE ee ee Se 701, 304. 03 


Total invested endowment other than Freer endowment__ 1, 808, 107. 22 
Freer invested endowment for specific purposes_______________~ 4, 769, 362. 53 


Total invested endowment for all purposes________-___--- 6, 577, 469. 75 


CLASSIFICATION OF INVESTMENTS 


Deposited in the U. S. Treasury at 6 percent per annum as 

authorized in the U. S. Revised Statutes, see. 5591_-___-_____ $1, 000, 000. 00 
Investments other than Freer endowment (cost or 

market value at date acquired) : 


Bondsn(S diferent 2roups)—--- = $363, 887. 25 
Stocks (39 different groups)__-_--____________ 398, 693. 67 
Real estate first-mortgage notes_______________ 41, 746. 00 
Wninvested “capitals . 2 = 3, 780. 30 
—_—_———- 808, 107. 22 
Total investments other than Freer endowment_____-_-__~ 1, 808, 107. 22 


Investments of Freer endowment (cost or market 
value at date acquired) : 


Bonds (438 different groups) ___-_---_-_______ $2, 240, 386. 62 
Stocks (31 different groups) _-____-__________ 2, 156, 825. 38 
Real estate first-mortgage notes__._________-_ 38, 500. 00 
Wwninvestedicapital==es ae 333, 650. 53 
4, 769, 362. 53 
Total investments: 2532s sews Ba eee coe SAY As tee 6, 577, 469. 75 


36923—36——7 


84 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


CASH BALANCES, RECEIPTS, AND DISBURSEMENTS DURING THE FISCAL 
YEAR ! 


Cash balance on hand June 30, 19384------___-----____-_-______ $250, 118. 80 
Receipts: 
Cash income from various sources for general 
work of ther institution] 2) eee $66, 558. 01 
Cash gifts expendable for special scientific 
objects (not to be invested) —-----______--_- 49, 096. 04 
Cash income from endowments for specific use 
other than Freer endowment and from mis- 
cellaneous sources (including refund of 
temporary advances) === 62, 933. 04 
Cash capital from sale, call of securities, 
ete; (to be reinvested) /====== === === 99, 592.16 


Total receipts other than Freer endowment___------_-- 278, 179. 25 
Cash receipts from Freer endowment: 
Income from investments, etc___--------- $257, 510. 33 
Cash capital from sale, call of securities, 
ete) (to; be reinvested) == === 1, 176, 081. 31 


Total receipts from Freer endowment___--~------------- 1, 4338, 591. 64 


Total tae. A AES ee ee 1, 961, 889. 69 


Disbursements: 
From funds for general work of the Institution: 


Buildings, care, repairs, and alterations____ $2, 361.88 
Kurniture ands ixturess==2 ss eee 170. 78 
General administration#2. = 2 sees 24, 163. 12 
EADra ye eee ee ea ee oa ee eee 2, 449. 87 
Publications (comprising preparation, print- 

rbakeey fehevel Coli Imel oetnKayey) ewe ee 16, 507. 36 
Researches and explorations_______-__------ 17, 929. 34 


International exchanges=2——=2==—==_2="s2-2 4, 864. 63 

——_ 68, 446. 98 
From funds for specific use, other than Freer en- 

dowment: 
Investments made from gifts, from gain 
from sale, ete., of securities and from sav- 
inzgsvoneinCOMe == se nee $6, 265. 32 

Other expenditures, consisting largely of re- 
search work, travel, increase and care of 
special collections, ete., from income of 
endowment funds and from cash gifts for 
specific use (including temporary ad- 


VancCes) Bee Gato oor 2 2 eee 75, 497. 78 
Reinvestment of cash capital from sale, call 
of isecuritiessiete: = == ee eee 133, 717. 40 


$215, 480. 50 


17This statement does not include Government appropriations under the administrative 
charge of the Institution. 
2 This includes salary of the Secretary and certain others. 


REPORT OF THE EXECUTIVE COMMITTEE 85 


Disbursements—Continued. 
From Freer endowment: 
Operating expenses of the gallery, salaries, 


fieldvexpenses); ete. = 2.25222 See $57, 908. 53 
IPOTCHASesTOn ort ODIJCCIS=—=— = ee ee 136, 141.19 
Investments made from gain from sale, etc., 
OLGSCCUTITICSH. ah. ee 278, 962. 32 
Reinvestment of cash capital from sale, call 
OLEsecurities (cic. are 626, 378. 05 
$1, 099, 390. 09 
Cash) balance wunerol ye G3o waa ee ee 578, 572. 12 
To tei] Stes ee a ee a ee ees Bad ee 1, 961, 889. 69 


EXPENDITURES FOR RESEARCHES IN PURE SCIENCE, PUBLICATIONS, EXPLO- 
RATIONS, CARE, INCREASE, AND STUDY OF COLLECTIONS, ETC. 
Expenditures from general funds of the Institution: 


Publications222_ Sei eres se Teeriial ss: sores A a $16, 507. 36 
Researches' and explorations—~—=2242=_ S2_S5e1U 3 22__ 17, 929. 34 
$34, 436. 70 
Expenditures from funds devoted to specific purposes: 
Mesearches’ and explorations———-—-=- = == 42, 920. 24 
Care, increase, and study of special collections____~—_ 12, 366. 86 
Pablicati onsets a ee ee ee 1, 823. 05 
—————— 62, 610. 15 
PO Sr Ig a ee a 97, 046. 85 


The practice of depositing on time in local trust companies and 
banks such revenues as may be spared temporarily has been con- 
tinued during the past year, and interest on these deposits has 
amounted to $883.47. 

The Institution gratefully acknowledges gifts or bequests from 
the following: 


Mr. W. N. Beach, for purchase of certain specimens of birds. 

Mrs. Laura Welsh Casey, for further contributions to Thomas Lincoln Casey 
fund, for investigations in Coleoptera. 

Mr. Eldridge R. Johnson, further contributions for expenses in connection 
with deep-sea and other oceanographic explorations. 

Research Corporation, further contributions for researches in radiation. 

Mr. John A. Roebling, further contributions for researches in radiation. 

Mrs. Mary Vaux Walcott, contribution for the publication of special volume 
of North American Wild Flowers and purchase of certain Alaskan Archeological 
specimens. 

From an anonymous friend, for further investigations in Old World 
Archeology. 


All payments are made by check, signed by the Secretary of the 
Institution, on the Treasurer of the United States, and all revenues 
are deposited to the credit of the same account. In many instances 
deposits are placed in bank for convenience of collection and later 
are withdrawn in round amounts and deposited in the Treasury. 


86 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The foregoing report relates only to the private funds of the 
Institution. 

The following appropriations were made by Congress for the 
Government bureaus under the administrative charge of the Smith- 
sonian Institution for the fiscal year 1935. 


Salaries; andséxpenSes>e)i. 2} 2 eee — $86, 475. 40 
International vexchangesc=0- 0.2) be. i ee ee Se Se 41, 188.17 
American thnolog ys ses eee a) 2 ee 56, 502. 62 
Astrophysical Observatonyoo sss ee 2 ee eee 29, 774. 21 
National Museum: 
Maintenance and operation__.___________________ $137, 093. 72 
Preservationsofacollections= 33 573, 407. 94 
710, 501. 66 
National!GallenysorvAr tastes oe ee ee — 88, 087. 44 
Printing ‘and ‘binding! 324. 3) 2 OU ee ee See aA aa ee 17, 500. 00 


For printing and binding two volumes of that portion of the 

Annual Report of the American Historical Association devoted 

to the bibliography, ‘‘ Writings on American History ”__-_--_-____ 8, 000. 00 
Nationale ZoolozicalwPar k= oe ee ae ee ee 199, 043. 63 


1, 132, 073. 13 


There was also an allotment of $5,600 made for participation by 
the Smithsonian Institution in the California Pacific International 
Exposition. 

The report of the audit of the Smithsonian private funds is 
printed below: 

Aveust 19, 1935. 
EXEOCUTIVE COMMITTEE, BOARD OF REGENTS, 
Smithsonian Institution, Washington, D. O. 

Sms: Pursuant to agreement we have audited the accounts of the Smith- 
sonian Institution for the fiscal year ended June 30, 1935, and certify the balance 
of cash on hand June 30, 1935, to be $580,472.12 [which includes $1,900 held 
in cash at the Institution]. 

We have verified the record of receipts and disbursements maintained by 
the Institution and the agreement of the book balances with the bank 
balances. 

We have examined all the securities in the custody of the Institution and 
in the custody of the banks and found them to agree with the book records. 

We have compared the stated income of such securities with the receipts 
of record and found them in agreement therewith. 

We have examined all vouchers covering disbursements for account of the 
Institution during the fiscal year ended June 30, 1935, together with the 
authority therefor, and have compared them with the Institution’s record of 
expenditures and found them to agree. 

We have examined and verified the accounts of the Institution with each 
trust fund. 

We found the books of account and records well and accurately kept and 
the securities conveniently filed and securely cared for. 


REPORT OF THE EXECUTIVE COMMITTEE 87 


All information requested by your auditors was promptly and courteously 
furnished. 
We certify the balance sheet, in our opinion, correctly presents the financial 
condition of the Institution as at June 30, 1935. 
Respectfully submitted. 
Wurm L. Yarcrer & Co., 
WiLuiAM L. YAEGER, 
Certified Public Accountant. 


Respectfully submitted. 
Freveric A. DELANO, 
R. WALTON Moore, 
JOHN C. MERRIAM, 
Ezecutive Committee. 


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GENERAL APPENDIX 


TO THE 


SMITHSONIAN REPORT FOR 1935 


89 


ADVERTISEMENT 


The object of the Grenrrat Appenprx to the Annual Report of the 
Smithsonian Institution is to furnish brief accounts of scientific 
discovery in particular directions; reports of investigations made by 
collaborators of the Institution; and memoirs of a general character 
or on special topics that are of interest or value to the numerous 
correspondents of the Institution. 

It has been a prominent object of the Board of Regents of the 
Smithsonian Institution from a very early date to enrich the annual 
report required of them by law with memoirs illustrating the more 
remarkable and important developments in physical and biological 
discovery, as well as showing the general character of the operations 
of the Institution; and, during the greater part of its history, this 
purpose has been carried out largely by the publication of such 
papers as would possess an interest to all attracted by scientific 
progress. 

In 1880, induced in part by the discontinuance of an annual sum- 
mary of progress which for 30 years previously had been issued by 
well-known private publishing firms, the secretary had a series of 
abstracts prepared by competent collaborators, showing concisely 
the prominent features of recent scientific progress in astronomy, 
geology, meteorology, physics, chemistry, mineralogy, botany, zool- 
ogy, and anthropology. This latter plan was continued, though not 
altogether satisfactorily, down to and including the year 1888. 

In the report for 1889 a return was made to the earlier method of 
presenting a miscellaneous selection of papers (some of them origi- 
nal) embracing a considerable range of scientific investigation and 
discussion. This method has been continued in the present report 
for 1935. 

91 


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WEATHER GOVERNED BY CHANGES IN THE 
SUN’S RADIATION 


By C. G. ABBor 
Secretary, Smithsonian Institution 


[With 1 plate] 


It is now nearly 20 years since the Smithsonian Institution began 
to observe daily, whenever possible, the intensity of the rays of the 
sun. These studies have been continued first at the city of Calama, 
in northern Chile, and since 1920 by the generous aid of John A. 
Roebling, at Montezuma, a mountain 9,000 feet high about 12 miles 
south of Calama. Plate 1 shows the barren location at Montezuma. 
Neither bird nor beast, shrub nor tree, grass nor desert plant, in- 
sect nor creeping thing (except the ubiquitous house fly) can exist 
in this waterless desert. The great naturalist Darwin, in his journal 
entitled “The Voyage of the Beagle”, relates that he rode all day in 
that Desert of Atacama seeing no live thing except some flies feast- 
ing on the body of a dead mule. In such a place our observers de- 
votedly measure and compute about 9 hours each day for a 3-year 
period before being relieved. Water and provisions they must haul 
by auto from Calama, 12 miles distant. 

Two other Smithsonian solar stations are in occupation. One is in 
a still more desolate and remote location, Mount St. Katherine, 8,500 
feet in elevation, 10 miles from the ancient monastery of St. Kath- 
erine on Mount Sinai in Egypt. The other, at 7,500 feet elevation, 
overlooks the Mojave Desert in California. But here trees, water 
and easy accessibility relieve the lonely plight of the observers. 

At these desert mountain stations, where rain seldom falls, it is 
possible to observe the sun through cloudless sky on upward of 
75 percent of all days. The great majority of dwellers on low ground 
and in the cities have never in their lives seen such blue, cloudless, 
and limpid sky as these stations afford. They have been chosen after 
much research, travel, and actual testing. For to measure the rays 
of the sun in such a way as to be able to eliminate the losses its beam 
suffers in passing through our atmosphere, so as to determine the real 
emissive power of the sun, is a task of extreme difficulty, even under 
ideal sky conditions, and is impossible otherwise. 

93 


94 


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1934 


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96 
1.95 
+94 
1.93 
1.92 
91 


FIGURE 1.—March of solar vari- 


ation, 1920-34. 


ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


It is not sufficient to measure the solar 
rays as a whole. They must be resolved 
into their spectrum in order to evaluate 
the losses from water vapor, ozone, and 
other atmospheric absorbents. The spec- 
trum includes not only the seven familiar 
colors as described by Sir Isaac Newton, 
but beyond the violet and beyond the red 
lie long regions, dark to our eyes, but 
containing a substantial proportion of the 
energy of the solar beam. To measure all 
these rays we use the bolometer, invented 
by Langley. It is an electrical thermom- 
eter so sensitive that a millionth of a 
degree of heat is easily measured by it. 

Observations with the bolometer and 
other instruments occupy the observers 
for about 3 hours each morning. From 5 
to 8 hours of computing follow before 
they are ready to send their telegram to 
Washington, announcing their result for 
the intensity of the solar rays on that day. 
The measures are expressed in heat units 
called calories. The calorie is the amount 
of heat required to warm a gram of 
water 1° C. Those more familiar with 
English units may recall that there are 
about 28 grams in 1 ounce, and 1° C.= 
1°.8 F. The intensity of solar radiation 
as it is in free space just outside our at- 
mosphere at mean solar distance is found 
to fluctuate about a mean value of 1.94 
calories per square centimeter per minute. 

Having now accumulated for more than 
15 years measures of the solar emission 
(which has long been called the “solar 
constant ”, though as we shall see it is 
variable), we have examined its variations 
to detect periodicities. This search has 
now revealed 12 periodicities by the com- 
bination of which the sun’s heat available 
to warm the earth fluctuates through sev- 
eral percent. Figure 1 illustrates this 
fluctuation since 1920, as far as it appears 


—8eo 2830 8) 


A 


alt toy Not 
Le 


c curve B is drawn bes 


36 37 1938 


1.940 1.930 


1.930 1.920-4\— 


1.920 


Ps. 
ee 


1 


0.00.04 .08 .I2 .16 .20 CAL. 
rR 
© 


Ficves 2.—Analysis and synthesis of solar variation, 1920-34, The syntheti irve B is drawn below the observed curve A to avoid confusion. Successive derivations of the shorter periodicitics precede their general mean. The 23-year periodicity presents as yet only 15 years of its 
36923—36 (Face p, 95) course and is partly estimated. 


c curve B is drawn bes 


WEATHER GOVERNED BY THE SUN—ABBOT 95 


in the 10-day mean values. There are, indeed, quicker solar varia- 
tions which run their courses in a few days, and these are believed 
to have important effects on weather, but the study of them must 
be deferred until steps now being taken somewhat increase the ac- 
curacy of our daily observations. In mean values covering 10 days, 
or better still 1 month, the daily errors, some being plus, some minus, 
are largely smoothed away. 

Figure 2 shows the monthly mean solar-constant values since 1920 
analyzed to yield the 12 periodicities above referred to. In making 
the analysis the data are treated in several separate parcels for all 
the periodicities of 25 months and less, so as to see if the earlier and 
later years agree in presenting similarly the periodicity in question. 
In illustration, I call attention to the periodicity of 11 months, for 
which the results of three partial analyses of 5 years each are first 
shown. At the bottom of that series a heavier line gives the general 
mean for 15 years. A fair agreement between the three 5-year 
intervals is apparent. However, as all the periodicities, and the 
accidental errors besides, are confused in the original data, it is not 
possible to separate perfectly and determine accurately the indi- 
vidual periodicities as well as one would like to do. Especially for 
the longer periodicities, of 834 months and over, the determinations 
of the curves are imperfect because in 15 years there are so few 
repetitions of them. 

Curve B is the summation of the 12 periodicities indicated by the 
heavy lines at the bottom of figure 2. When compared with the 
original curve of observation A, it is apparent that a very good fit 
has been obtained. Not only major changes such as that of 1922, but 
minor details in the curve of observation A are closely repeated in the 
synthetic curve B. In fact, the average departure between curves A 
and B over the 180 months covered by curve A, figure 2, is less than 
one-fifth of 1 percent. This is really a surprisingly good result and 
les, indeed, within the accidental error of the observations. 

It seems apparent, therefore, that the emission of the sun varies, 
and that its variation is the complex result of the simultaneous exist- 
ence of at least a dozen periodic terms. But what adds decidedly to 
the interest of this conclusion is a fact that happened to be noticed 
after many of the periodicities had been found. It is this: They 
are all approximately integral submultiples, or, as we should say in 
arithmetic, aliquot parts of 23 years. For 23 years is 276 months, 
which divided by the numbers 1, 3, 4, 6, 7, 8, 11, 18, 25, 28, 34, and 
39, gives, respectively: 23 years, 92, 68, 46, 39%, 34, 251, 21%, 11%s, 
9%, 8%7, and 7%; months. 

If 274 months rather than 276 had been chosen as the least common 
denominator, the series of numbers just given would certainly have 


96 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


fitted within the error of determination with the lengths of the 
periods given in figure 2. It is not to be supposed that the period of 
the fundamental solar fiuctuation, whatever its cause, has any exact 
relationship to the year or the month, but it is probably a period of 
time lying somewhere between 272 and 276 months. 

It is interesting to remember that nearly 30 years ago Dr. George 
E. Hale discovered magnetism in sun spots. It has been observed 
ever since. The curious fact has been observed that the magnetism 


1933, 1934 1935 


Ficurp 3.—Predicted and observed solar variation. The maxima and minima occur in 
the two curves at nearly identical phases. The observed curve may be faulty in 1932 
owing to the Chilean voleanic eruption. The separation of the curves toward the 
end is due to a 23-year periodicity not taken account of. 


of sun spots reverses its sign approximately each 111% years, so that 
approximately 23 years are required to carry the sun through a com- 
plete magnetic cycle. Also, it has been well known for over a cen- 
tury that sun spots fluctuate in prevalence with a period which is 
irregular, but averages about 1114 years. The irregularity of the 
sun-spot cycle is, however, large, ranging from 8 to 16 years, so that 
the discrepancy between the usually preferred period, 111% years, 
and the half of 23 years is not perhaps significant. 

As we well know, a violin string, for instance the A string above 
middle C of the scale, vibrates in a fundamental and many har- 


WEATHER GOVERNED BY THE SUN—ABBOT 97 


monics at the same time. The harmonics are, indeed, the sources 
of the distinguishing quality of the violin sound. The sun’s radia- 
tion seems to behave similarly. But it is not clear why the sun, 
a great ball of compressed hot gas, should vibrate in a fundamental 
and numerous harmonics, as a violin string or a bell does. Though 
the cause is obscure, it is believed that the fact is demonstrated. 
So confident of it was I, that in 1930, and again in 1982, though not 
then in possession of analyses of the solar variation as satisfactory 
as figure 2, I ventured to forecast publicly for 2 years in advance the 
solar variation. Figure 3 shows these forecasts and the event. It 
will be seen that maxima and minima fall about at the times ex- 
pected, but that the fit is by no means so close as in figure 2. This 
was due to the lack, at the time of those predictions, of the more 
recent discovery of the terms of 34, 3914, 92, and 276 months. 

Everyone is aware that the weather is in the main controlled by 
the earth’s relation to the sun. Our alternate exposure to the sun 
and to dark space by the daily rotation of the earth produces day 
and night, with their warming and cooling. Revolution about. the 
sun in a plane 2314° out of the plane of the Equator causes the 
sun to appear far south in January and far north in July, with 
attendant cooling and warming of the Northern Hemisphere. ‘The 
ellipticity of the earth’s orbit removes us to 3,000,000 miles farther 
from the sun in July than in January, and causes the sun’s heat 
upon the earth to be 6 percent more intense in January than in 
July. This tends to make winters in the Northern Hemisphere more 
mild, and in the Southern Hemisphere more severe than otherwise 
they would be. All these effects are well known. We may now 
inquire whether the recently discovered variation of the sun’s emis- 
sion is also of sufficient importance to affect the weather. 

We have studied this question in many ways. In the Smith- 
sonian publication called “ World Weather Records” are given 
monthly mean temperatures and precipitations for several hundred 
stations in many countries. Some of these stations, as, for instance, 
Helsingfors, Berlin, Copenhagen, Greenwich, Capetown, and Ade- 
laide, present observations covering nearly, or quite, a century The 
records of all the cities just named were studied. To avoid per- 
plexing details, the original monthly mean observations were 
smoothed by 5-month traveling means. For instance, for March use 


Jan. + Feb.+ Mar.+ Apr.+ May 
5 
and for April, 


Feb.+ Mar.+ Apr.+ May+June 


5 , ete. 


98 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The analysis of these records was very laborious, involving thou- 
sands of pages of tabular matter. As a result, however, every 
periodicity found in the solar variation, except one of 3914 months, 
was also found in the departures from normal temperature and pre- 
cipitation at all these stations. In addition, periodicities of 12, 13.6, 
55, and 138 months were discovered. These, like the solar periodici- 
ties, are also appreximately aliquot parts of 23 years, being closely 
represented, respectively, by 23 years divided by 23, 20, 5, and 2. 
These relationships hold within the limits of accuracy to which the 
periods are determinable. 

The magnitudes of the periodicities in temperature ranged from 
0°.2 to 1°.5 C. (0°.4 to 2°.7 F.), and in precipitation from 20 to 
300 percent of normal. But though so large as to be obvious, the 
periodicities in weather in no case continued in the same phase 
throughout the entire intervals of from 60 to 110 years over which 
the several investigations extended. On the contrary they often 
abruptly reversed in phase, so that the part of a peried which had 
consistently been a maximum for many years suddenly changed into 
a minimum and so continued for many years to follow. 

By a very lucky observation it was discovered that there is a 
saving regularity about these abrupt changes of phase. For if we 
take January 1819 as a time of departure, we find that the changes 
of phase tend to occur at integral multiples of 1114 years measured 
from that date. This is the case at all stations employed, and both 
for temperature and precipitation. 

Vigure 4 gives for Berlin the 11-month and the 21-month periodic- 
ities in temperature departures. For each of these two periodic- 
ities there are shown curves which express the results arising from 
successive intervals of about 1114 years from 1819 to 1930. In the 
case of the 11-month periodicity the forms of the curves evidently 
occur in pairs, so that for each 23 years at a time the temperature 
follows a single law in its 11-month periodicity. However, in the 
case of the 21-month curves, changes of form generally occur each 
1114 years, theugh with some exceptions, as from 1841 to 1864, when 
for 23 years there is no marked change. 

Figure 5 shows how very abrupt is the change from one form to 
its inverse. In the upper part of the figure are given two curves 
relating to the 11-month period at Berlin, representing respectively 
the last 22 months prior to December 1841 and the first 22 months 
following that date. Even in details the two curves are opposite. 
The first gives its maximum at the fifth month, just like the first 
two curves in figure 4, while the second curve of figure 5 gives its 
minimum at the sixth month, just like the second pair of curves in 


99 


WEATHER GOVERNED BY THE SUN—-ABBOT 


pers 


SCHERER 


SAD \geereS 


SD arsaraeact 
(IACI BET se 


Fieurm 4.—The 11- and 21-month periodicities in Berlin temperatures. 


Phase domi- 


nated by the 23-year cycle from 1819. Full and dotted pairs of curves each cover a 


cycle of 23 years. Under A, wording should read “Mean I, III, IV, VI, VIII, IX.” 


86923—36——8 


100 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


figure 4. A similarly abrupt inversion is shown at the bottom of 
figure 5 relating to the 21-month periodicity. The third curve 
represents the 44 months ending with June 1864, and the lowest 
curve represents the 44 months beginning July 1864, The inversion, 
even in details, is marked, and the similarity to the corresponding 
mean curves covering 1114 years each in figure 4 is obvious. 

As another illustration, figure 6, I give the departures from the 
normal of 110 years in the 12-month periodicity in the temperature 
of Berlin. As the 12-month periodicity is primarily due to the 
yearly revolution of the earth in its orbit around the sun, no one 
would have anticipated that the departures from its normal course 
would be governed by the 23-year cycle. Yet observe in figure 6 
how the curves of 12-month periodic departures from normal tem- 
perature at Berlin go in pairs, each pair covering 23 years beginning 
1819, and how the phases change sharply at the conclusion of each 
93-year interval. Finally in figure 7 I give a complete analysis of 
the temperature departures at Cape Town. The phase changes are 
very obvious. 

Having discovered that the periodicities of solar variation were 
also found in weather, and that all were integrally related to 23 
years, both as to period and as to change of form or phase, it 
seemed to us appropriate to search for the 23-year cycle itself in 
weather and in phenomena closely related to the weather. Figures 
8 to 13 show the effects of this cycle in the level of the Nile, in the 
levels of the Great Lakes, in the catches of mackerel and cod in the 
Atlantic, in the width of tree rings, and even in the thickness of 
varves or layers formed by the yearly settling of sediment in glacial 
lakes in Pleistocene geologic age. 

But perhaps most interesting of all is the 23-year cycle in ordinary 
weather. Figure 14 shows a plot of the smoothed monthly mean 
percentage precipitation at Peoria, Ill., and figure 15 a similar plot 
of monthly mean percentage precipitation at Nagpur in central 
India. In figure 14 various features have been marked with letters 
to show their approximate repetition at successive intervals of 23 
years. Besides these small details the reader may trace some prin- 
cipal trends of the successive curves which show much similarity 23 
years apart. In figure 15 note that in 1865, 1868, and 1870 there are 
three pillarlike features of high percentage precipitation bounding 
two features of subnormal precipitation. Thus there stand out 
two intervals of 3 and 2 years, respectively, as if guarded by these 
sentinal features, but embracing besides nearly ascore of subordinate 
features. The reader’s attention is now invited to similar features, 
1888-93, and 1912-17, in which nearly all the details are recognizable. 


WEATHER GOVERNED BY THE SUN—ABBOT 101 


V 


42 MONTHS FOLLOWING JULY, 1864 


FIGURE 5.—Details of the 11-month and 21-month periodicities in Berlin temperatures. 
Showing abrupt reversal of phase. 


ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


102 


By & 


is ts Laon 


= 


Ww 

sin 
2a 
ve 


mls 
1 i 
‘ 


eer ene ee 


eee re RES [SSN SE ee 


ASR NET 
(J2 2 ese Sea See SS 
ee SLL DNS a 
pes DS ier TN er eg 


20189 ¥ 20 


Nes 


fe 
a 


Z| 


Each bracketed 


dotted curves from 


Full curves are from original data, 


Ficurn 6.—The 23-year influence on periodicities of 934 and 12 months. 


Pair covers 23 years. 
residuals after removing many periodicities. 


WEATHER GOVERNED BY THE SUN—ABBOT 103 


SES Bie, ES 6! 6S 


less ageege, 


SI 


| ea 


in 
a 
sae! 
nae 


Spee 


q 


date 
ale al 


Dae See Sey 
sueananene 


FR SO 
i Fe 


EO he 
EI ae a es | 


CR ey iho 
es a a et] 
—— ——s 

ZAI 


HEaaWiale 


amine PAN Aan 
Bese CA 
ey 


wre 


\ 


= [5 
2 


> 


al 
ial 


Pre LSet LE 
jeaeceaaee 


Be as 
Taek 
| 

i Nt 

EE a oe 

CONSE EEE EE 


om ba y= 
me seme i 


Fiagurn 7.—Cape Town periodicities in temperature departures. Bracketed pairs of 
curves each cover 23 years. For periodicities of 34 months or over, one curve is 
computed for each 23 years. 


Bereta 
2) 
Beer Sts 


104 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


YEARS OF CYCLE YEARS OF CYCLE 


—————— | 
as ai 
<=] ees 
se [ > 
is; = 8 


1011-1148 [aa 


Mr 
Jet pe 
ae 


LEVEL IN METERS 


Let 

=> 

Be 
rama 


@ 
<<a 


baa: 
et ee 


LOW STAGE OF THE NILE RIVER 


Fieurn 8.—Low-level stages of the Nile River. Showing 23-year periodicity, A. D. 725- 
1424 and A. D. 1839-1885. 


Fiaurp 


alg 


io 


a 7, 
= q 
= m 
> S 


mabcagisielt 


Frovestcciee $Sesel— 2 2 
erie _3t = 

280 2 

i =. 3 = 

Has £ 

Sear: o=3 3 

one _- 


BID) 
CL wig 


rRsQeS 


sata of OF 
DY 


“Tnoeal 
23RA) TAIKHO BHT AO 
y otoroueel 


¥ 

o 
= 
2 


5s 


yes s 
Kee! = 
wa S 
ciel 
ia 7 
ey he 
— = 
| 
; mad 
sa, } = 


a8 


% 
i] 


} 


alg 28 zg e238 
cate eediertierds 


1874 | ig75_ {1876 2 
ite 


fusiessilect des iiey ie cies ie 1th 
ze Fie Be 
| 1864 _| a BS tC 8 er er 


ee ee 
= ezz2 
a ——ae 


essssssesss tf ieee me 


ef 


iT 
itts 


247.0 


hay 


245.0 


(ee - 


. . : . = 
eavifedeieiaiey : at 
SS ae 1937 1938 1939 
UNITED STATES LAKE SURVEY 
MONTHLY MEAN WATER LEVELS OF THE GREAT LAKES 
From Official Records, 1910 to date. 


Figurr 9.—Levels of Lake Ontario, 23-year cycles. Note general subsidence about the Sixth year, also approximate repetitions of features a, b, o, d. 
869283—86 (Face p. 104) 


sdat to aleval—. 


/ 


¢ 


a1 it 


194 


i3Vval # 
vee letoiO anit 
ES, oits] 


7) TRY 


yavaue ane 
t 


AD SHT 70 & 


walsh of OLUL ate 
{> 


8 


P<] 


WAS TAS 


83) 
ne 


[- SURaEre SS 


eet 


WEATHER GOVERNED BY THE SUN—ABBOT 105 


re 


837-1859 


= 

esi 
ies 
<= 
er 


_—— 
sees] 

ey 

i 


Pali 2 ame ba 


O 0.2 0.4 06 08 1.0 FT. 


ine) 
i{o) 
jpmaewal 
e. | 


a 


4 nmin 


imgcoses 
<a] 
Ss i 


Is 

oo SEs 
IS 
Ae Sene 
BSS iSis 
Re eeeeks 


Ficurn 10.—Levels of Great Lakes, 23-year cycles. Note the marked subsidence culmi- 
nating after 11 years in the full curves. The double cycle of 46 years seems impor- 
tant for drought conditions, see first, third, and fifth curves. 


Sas YEAR aes posse evrae a. ee 


ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


106 


eee as ee a aNens Ret eer 
Fieurp 11.—Catch of mackerel and cod in the North Atlantic, 23-year cycles from 


A Hse eH 
joo alee El bp ee ee OS eee 
ee ee oe 
cs a ca ae nC | 


SQNNOd 4O SNOITTIN SGNNOd 4O SNOITTIW 


Dotted curved and dashed 
Full curves are general 


Curve for cod shifted in phase 2 years. 


curves are means of cycles I, III, V and II, IV respectively. 


means of all five cycles. 


1812 to 1931. 


107 


WEATHER GOVERNED BY THE SUN—ABBOT 


1662 - 1776 
rly 
MINA 


SAN BERNARDINO 
1819-1931 
| 


f' 
1777-1891 
N\60/\ 


= 
her 
Jem 
oa 


/ 


\ 274-160 B.C 
N i 
/\ 1760-1814 


ARLESTO 


SEQUOIAS B 


BAKER, ORE 
1660-1774 


1717-1831 


vals. Numbers indicate percentage ranges of mean values representing 115 years. 


Note successive curves in Meadow Valley, Modern H, Pike’s Peak, and Windsor. 


\) 
FLAGSTAFF SHADOW 


Ficurn 12.—Cycles of 23 years in tree-ring widths. Average results of 115-year inter- 


108 


= 
| _——— 


i "Sh 1 
riba osc 
> Ty era 


= |e ly B= 
ap ee 


Se 
Me 


\ 


ee 


one: 
BSS 


: 


deve 


| 7) [tHickness Se] 
al 


= 


| VARVE THICKNESS 


YEARS 5 


Figurp 13.—Cycles of 23 years in Pleistocene varves. 
intervals. 


Ke 


po ha 


ENTY-THREE YEAR PERIODICITY OF 


CURVES (A-E) EACH IS MEAN OF 115 YEARS 
CURVE F (ON DOUBLE SCALE) MEAN OF 575 YEARS 


ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


F 


Average results of 115-year 


109 


WEATHER GOVERNED BY THE SUN—ABBOT 


‘S19]}0[ Surpuodseaiioo Aq poyIVUL 918 S9AIND [BIOAOS 94} Ul SeInjeey Sulpuodsei10g “aAIND po}jJOp 9y} 
4&q passeidxe pus ‘v}Bp SnoyAeid Wodjy pajJo[peid OS6T ‘ESET ‘FEET SIB9A [II ‘BlAoag JO u0T} Bi dood oy} UT e[oAD Ivok-EZ OY T— FT. AWA 


(abies | Sas (Ie ee eS eae es 
Ps ANA 


869! 


ZAR eee Ow 


Re eee 
Soe eae dre aaY Wie At katretaar ine atary nt 7d ama 


Ori 
Pc tereta ish 
pas dave ant lee 


TAWWYON LN39d3d 


ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


110 


‘BIpUuy [BIjUeD ‘indZeN Jo uorezIdiooid ur aposhd avak-gz% oyT—eT anDIA 


a TTT TTT TTT lal at LAA ae 
Be Noll ah | AMD! 72, 
TET ET Wa 
Ye) AA O 
CANNRANTEPEATN GY (NTN 
09 | | j p j Mn rr \ie yj “Wy 09 
Be lah lait Th hen A Wan i Ae 
SV WUT ATE Ue 
08 | N| ’ \ \ | oF 
a): h sos Wa coar Mh Vier A eae TR Ge og Tay) a RA \% 
SCAU T GR Za CAVEAT Lal le 
Oo/ Veal l . TAs AANA I i iM, /} i) Wh h Lit aN oor 
SL WEEE AW UI TATY BUTS fee 
1 on Va | Da A yt g 
SLANT RCA Nh ithe LL 
SM Nh AN hl A Bud ZAK Ml Aa Y g 
a a ee 
ia TL PET Pe 


pePededal Pelsbislt dtl obo tekst 


111 


WEATHER GOVERNED BY THE SUN—ABBOT 


Ls 


‘UOT}VOUIIGA TIM “HBC ‘N ‘HOIVUISIG JOJ JSBoeIOJ AvaA-UDADTY—'OL Mano 


G3ANaSSO-Q = Isvw93N0I-D 
NOILW1LidID3ud WWYON JO 39VLN39N3d 


\ | 
“ee 


Gany3sao - 41sv93405-V 
SauNivnesdWw3t SWWHON WOus S3YNLYVd3I0 


SNW3W SNINNNY HINOW-S AB GIHLOOWS S3ANND TIV 
OZ6I- SL81 SOYOI3Y NO ATIOHM GaSva 
“MVO'N “MONVWSIG “SLSWI3YOS FALLWLNSL 


-year intervals are not 


Although these repetitions of features at 23 


precisely similar 


and are sometimes displaced in phase by a few 


3 


months, as in the third appearance of the sentinals at Nagpur just 


pointed out, yet the 


y give some promise of value for long-range 


forecasting. In figure 16 I show for Bismarck, N. Dak., forecasts 
based on these similarities covering a period of 12 years both for 


temperature and for precipitation and their verifications. In figure 


1G by ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


17 I show such forecasts made only one year in advance, and cor- 
rected to the actual event at the beginning of each year. In both 
figures the forecasts were made without knowledge of the events, 
being based solely on a study of what had happened in the preceding 
46 years. 

Similar forecasts have been made for over 30 stations in all 
parts of the United States for the years 1934, 1935, and 1936, but 
not published. Such sensationally important disclosures require 
as yet more long-continued verification of their success before it 
would be prudent or wise to make them public. However, the year 


IS22ngI923 1924 1925 1926 1927 1928 1929 1930 1931 1932 1933 


NORTH PLATTE, NEB. 
DEPARTURES FROM NORMAL TEMPERATURE 
(5-MONTH RUNNING MEANS) 


— =OBSERVED ---= = PREDICTED 
FIGureE 17. 


1934 having elapsed, a comparison of the predictions with the events 
has been made. The results have been divided into four classes. 
Excellent, Good, Half and half, and Bad. To illustrate this classi- 
fication, I show in figure 18 a fair sample of each class both as to 
temperature and precipitation. The comparison resulted in the fol- 
lowing classifications: 


A. Temperature. 

Excellent, 7: Eastport, Key West, Detroit, Salt Lake City, Helena, Port- 
land, San Diego. 

Fair, 17: Albany, New York, Washington, Hatteras, Mobile, Nashville, 
Cincinnati, Chicago, St. Paul, St. Louis, Omaha, Bismarck, Cheyenne, 
Denver, Santa Fe, Red Bluff, Spokane. 

Half and half, 3: New Haven, Galveston, North Platte. 

Bad, 4: Charleston, Little Rock, Abilene, San Francisco. 

B. Precipitation. 

Excellent, 11: Eastport, Burlington, New York, Detroit, Chicago, Duluth, 

St. Paul, St. Louis, Little Rock, North Platte, Bismarck. 


WEATHER GOVERNED BY THE SUN—ABBOT 113 


MAY SEPT. JAN. 


We a 
hha fie 

xeon] 
TA5m 


Ficurn 18.—Sample forecasts and verifications. Dotted curves are forecasts. Grades 
of results: A, excellent; B, fair; C, half and half; D, bad. Left, temperature; 
right, precipitation. 


ANNUAL REPORT SMITHSONIAN INSTITUTION » 1935 


zg & OF 62 
8% 61 SI 62 
oo 68 OF 90T 
OL 8% 9¢ FIT 
GL #9 PL ect 
69 1X6 09 62 
ST 6 93 GL 
€& 2g Lg 18 
UAOL orm 


SPIPIePY | dey | toss | Wea 


——— 


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ALTOS JO SOIZBI Sv O38 UaDIEd UI sosuLy 


Rann HOn 


ite] 

a 
09 OD C2 SH OD <H OO =H 
(Tm) 


i 
Oo 
S 
== 


queo1eg Tore 
eplelepy 


Cl 99°0 13° 0'T TF oT 
1) 0 80° ¥'0 T° oT 
1G OT ¥° rae § cc 9T 
Ole ¢'0 eT Z°0 Ge oT 
£%° aT 16° PT gg° 9'T 
Ay 20 1g 8'T Ir" o'T 
¥0° 20 cI* 99°0 ce* OT 
cr 0 9°0 (4 i) 9°0 LT 0 ee) 
° ° 
queo1eg conte gq | Mere wuss q | Moog ced 
UMOT, edeQ qoraueerp) Urpeg 


120 


(Ca | ave ee eam SqjU0UL 76 
NS Ne els ee eee sqjUOUr gg 
Ole | eas te eacet SqjUOUI OF 
Lg > WSs a eee recesy Sq{UOUI $E 
i i Coe aS SqjUOU gz 
OTs a i eeeer ras saci anaes SqqUOUl 17 
Or ore | paaaeegne a Tag sqju0ul TT 
FOOD As | ae aig ace ea caer = sqqaour g 


quedieg | soli0jeg 


iejog poreg 


ee ee 


(980, Ue0I10d pues poaresqo) sesuey 


Sr BS ae Rs SE Ae eS ea Oa 


saurorporsad 101489419} pun 1vj0s fo uostundwoj—{ aTavy, 


WEATHER GOVERNED BY THE SUN—ABBOT 1 


B. Precipitation.—Continued. 
Fair, 11: New Haven, Albany, Philadelphia, Washington, Charleston, 
Peoria, Galveston, Santa Fe, Denver, San Francisco, Spokane. 
Half and half, 8: Key West, Cincinnati, Omaha, Helena, Salt Lake City, 
San Diego, Red Bluff, Portland. 
Bad, 5: Hatteras, Mobile, Nashville, Abilene, Cheyenne, 

Doubtless readers will wish to inquire whether it is reasonable that 
periodicities of small amplitude in solar variation, such as those 
shown in figure 2, are competent to produce temperature changes 
as large as those found. In the following table, I give a percentage 
analysis of this question. Unconsciously, when we think of the 
temperature, we base it approximately on the zero of the ordinary 
thermometer, so that a change of 5° F. seems to us as if it were a 
change of 5 percent or more in temperature. Really we should con- 
sider the temperature as measured from the absolute zero. This is 
—273° of the Centigrade scale and —523°.4 F. Thus a Fahrenheit 
temperature of 70° is really 593°.4 Absolute, and a change of 5° is 
only about 1 percent in temperature. 

The table shows that though the ranges of the periodic changes 
in solar radiation are all less than 1 percent, so too are almost all the 
corresponding changes in temperature. Indeed, if measured in per- 
centages, the temperature changes average but from one-third to 
nine-tenths as great as the changes in solar radiation. On the whole, 
the relationship does not seem unreasonable and leads us to the 
remarkable conclusion that an important and perhaps a major part 
of the departures from normal, which make up weather as distin- 
guished from climate, originate in these newly discovered variations 
in the radiation of the sun. If so it is clear that long range weather 
prediction is impossible if based solely on the earth’s conditions, 
excluding solar variation as a factor. 


36923—36——_9 


bri "ch 


a oS apie 
iam sotat Ay ee 
We % 
fe. ee shen aeeh uta og SaaS 


Thy ne 


jad aidansene af nocd bi ot sein (liq zinhaos eeoltdaog 
eoodt 22 dove’ ipiisinay tuloe at abudilqun Hare 20 eaiotbome 
eoynads Seni SPR ane or dasiaqmos an .f pers at 
ogntagring » avy F, iday yuimollot od} cl ~ back eandt aa 
eit 25 sali’ ay nod sah eras oironp eid 10. 
TIRUEAD att 0 0 i qo yintamixorgqes tf evel sw srtaR 
§ oro aE eae oO tans E #6 Yo, syinnds wm diel oe 606 
+1109 bfianata av YlineHl, cundenoppetsd at denit otonega ae rtm 
ei mae’. spton. ahuleads 9x0) tort hottest ot erbeogerst att 
fioderutet geudt bgt pe vite beryl) od Be 
| sannily dad b 208 ‘Gilder ei OT To 4 
rae he ghia nos Siete © 1 juod 
Gets kcal ai to-aeyaat od) dauodt surlt emote ce 
end Ile deomnle op edtor'amenraq { markt asst [le wre eee - 
~roy iad lerinaeand Ye cbeobal ewilmrqaied at esgitads gaibe 
Of Gridi-oco angst jot oyarsea, soguerds oTitriog iat alt 
loiter odd a> moiderbirs ‘geloe oF esganis oft eh dgoty ane 
° ‘oi 2W ahas! bas sldenovscuts stese Jon sob) cnet a 
Prnjaor « eqediog ba toxnoqal ng dady notenisaos aides “7 Ot 
cats fi eb sodtnow gir aaisit bide Sauron mort aotn ingly 8 re 
uacidsie’ beoveseib ylesa sand) af sianiomo .startifs mort 
ail tzow SQ0eT enol. jaddansto ai dies TL .ageadt to conan a 
Livioaie! are sid ods HO ee bean bi oidiesoqins 2i fois 
| fanart iA “adit 8 aos morantiay aatos 7 


eee x i ‘ 


=a 


SEASONAL WEATHER AND ITS PREDICTION’ 


By Sm Giugert T. Waker, C. S. IL, F. R. S. 


I have chosen the subject of seasonal weather for my address, 
because its economic importance is obvious to most men who have 
lived in the Tropics, and its scientific problems are full of interest. 
Unfortunately there is an additional motive, the need of warning 
against dangers ahead. For the difficulties of long-range forecast- 
ing are not in general adequately recognized, so that some of the 
most progressive countries in the world are inclined to make pre- 
dictions on an insecure basis; their technical staff does not realize 
that though the prestige of meteorology may be raised for a few 
years by the issue of seasonal forecasts, the harm done to the science 
will inevitably outweigh the good if the prophecies are found un- 
reliable. We only learn from experience that while the forecasting 
efforts of a charlatan are judged by their occasional successes, it is 
the occasional failures of a government department which are re- 
membered against it. 

In a country where conditions are as changeable from day to day 
as they are here, it is natural that we should think in terms of wet 
or fine days rather than of wet or dry periods; but in the greater 
part of our empire the different seasons are much more sharply 
defined, and so their dominant features stand out more clearly. Also 
the variability of their seasons is in general materially greater than 
here. Thus, in the annual rainfall measurements of the last half 
century the smallest rainfall of Great Britain has been 23 percent 
below normal; but that of large areas in South Africa has been in 
defect by 40 percent, in northeast Australia by 50 percent, and in 
the Punjab by as much as 58 percent, or two and a half times that 
of this country. 

Now, a season that is unusual seems to have some abnormal factor 
permanently at work diverting the weather from its ordinary course; 
in India I found, when issuing the daily forecast in a dry winter, 


1 Presidential address before the section of mathematical and physical sciences, British 
Association for the Advancement of Science. Reprinted by permission from the Report 
of the Association for 1933. 


117 


118 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


that I had at times to predict no rain, when with identical condi- 
tions as shown by the weather map I should in a wet winter have 
predicted a widespread fall. Even in England, in winter, there 
is an appreciable persistence in the characteristics: During the last 
60 years the 15 wettest Januarys were followed by Februarys of 
more than average rainfall in 10 cases; and with dry Januarys also 
there is a similar two-to-one chance of a prolongation of the char- 
acter. It is this persistence, especially when it is preceded by 
abnormal features in other regions, that seems now to hold out most 
promise of reliability in forecasting. In agricultural countries in 
which a failure of the rains involves a national calamity, the desir- 
ability of making preparations in advance has long ago led to efforts 
at prediction; and the demand has been so great that the supply has 
been forthcoming before its quality would bear the most cursory 
examination. The causes of unusual weather seem hopelessly ob- 
scure to the layman; and hence primitive ideas, surviving in the 
depth of our natures from countless ages of magical practices, still 
come to the surface in connection with it. In India I have been 
officially asked what is the need of an expensive and difficult scien- 
tific inquiry into the causes of drought when Hindu astrology will 
indicate what is coming; and many a country that claims to be dom- 
inated by western science fails to recognize that events in weather 
obey the ordinary laws of physics and chemistry. The almost uni- 
versal idea that weather must repeat itself after a certain number 
of years finds its origin, I believe, ultimately in the ancient belief in 
the control of our affairs by the heavenly bodies with their definite 
cycles—a belief which clearly shows itself in the supposed influence 
of the moon on the weather. Be that as it may, the faith in periods 
is so deep-seated that even in scientific discussions the ordinary tests 
for validity are very often ignored: More than once I have seen in 
journals of repute the artless remark of an author that if he were 
to limit his results to those which would satisfy the criteria of reality 
he would obtain few results of interest. 

Another regrettable feature of current practice, even in important 
memoirs, is that of classing together processes with true periods and 
those sometimes called “ quasi-periodic ”, of which the period varies. 
If our ideas are to be applied with success in the present enterprise 
their currency must be stabilized, and no good can come of attempt- 
ing to pass off a vague surge of a few years as a 3-year period. 

After these preliminary remarks I propose to make a rapid sketch 
of the relationships that have been found between seasonal features 
in different parts of the world, then to describe the efforts that have 
actually been made to issue long-range forecasts, and finally to 
consider the directions from which improvements can be hoped for. 


SEASONAL WEATHER PREDICTION—WALKER 119 


In the collection of World Weather Records, of which the publi- 
cation was made possible by American generosity 6 years ago, there 
are about a thousand series of monthly data of pressure, tempera- 
ture, and rainfall; and these form but a scanty network. If quar- 
terly values were computed and correlation coefficients between each 
pair for contemporary seasons, as well as for seasons one quarter 
before and after, we should have about 4,000,000 coefficients. Coordi- 
nation and generalization are imperatively called for, and the devel- 
opment of the subject lies in the discovery of regions over which the 
variations are linked together. 

After preliminary efforts by Buchan, Hoffmeyer, Blanford, de 
Bort, Hann, Meinardus, and Pettersson, the far-reaching possibilities 
were first visualized by Hildebrandsson, who plotted pressure curves 
for 10 years of 68 stations scattered over the world and drew atten- 
tion to the relations between them; among these the opposition be- 
tween Sydney in Australia and Buenos Aires was fated to have 
great influence; his subsequent studies involved temperature and 
rainfall also. In 1902 the Lockyers confirmed the existence of the 
see-saw between pressure in the Argentine and in India or Australia; 
and using graphical methods produced a world map, dividing areas 
in it according as their pressures varied with India or South Amer- 
ica. They were followed by Bigelow’s study of relationships with 
solar prominences. During recent years considerable development 
has followed the introduction of statistical methods, particularly in 
the hands of Exner, and of members of the meteorological services 
of England and India. 

It will be convenient if I may here introduce a technical phrase. 
If we have two series of numbers of which the variations are con- 
nected, there will be a certain proportion of the variations of each 
which are associated with those of the other, and this proportion 
is called the correlation coefficient between the series. If it is nearly 
unity the numbers vary closely together; if it is small there is little 
relationship between them; and if it approaches —1 the relationship 
is close, but one series goes up when the other goes down. 

Let us now consider some of the results of the analysis of sea- 
sonal features. It has long been known that in the North Atlantic 
Ocean there are two types of winter. In one, pressure is high near 
the Azores and southwest Europe, and low in Iceland, while tem- 
peratures are high in northwest Europe; in the other type all these 
features are reversed. (See the three upper graphs in fig. 1.) Let 
us suppose that we want to know the effect of these types on, say, 
temperature in Labrador. An obvious plan would be to plot the 
variations in successive winters, December to February, of the 
quantities which increase together, such as Vienna pressure and 


120 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Stornoway temperature, and also of the quantities which decrease 
when the former increase, such as Iceland pressure, reversing these 
so as to secure similarity of the graphs. We could then draw a 
graph which is the mean of all these, and could regard it as ex- 
pressing the variations of the North Atlantic fluctuation as a whole. 
(See the lowest graph of fig. 1.) If now we were to plot Labrador 
temperature below it we should see that its variations were, like 
those of Iceland pressure, strongly opposed, and on reversing Lab- 
rador there would be very strong similarity. So Labrador becomes 
a good example of the second group. Now we want to know the 


1s 80 B85 go 95° Cys) o5 i 15 20 i 
| VUEIN'NA, PRE Sisi0 DEC.— FEB: 


mms 


Lap (Bag \ 


(\CELAN DD) PRESS: DECi~FEB 
€ Ep i 


vERS 


80 1185) 1 go 95 oo | os firot tt iit itt 2zori1 125) 1 1130 


FIGURD 1.—North Atlantie oscillation. 


effect of the North Atlantic oscillation on the pressure, temperatures, 
and rainfall of a large number of places; and if in this way we put 
a hundred graphs under one another, some easy to classify and 
some doubtful in character, it would be difficult to draw satisfactory 
conclusions in a manner capable of convenient and accurate ex- 
pression. So instead of graphs we use numbers. Having found by 
preliminary investigation the stations which are most representa- 
tive, we calculate the figures in successive years for the North At- 
lantic oscillation as a whole, and then work out the correlation 
coefiicients of this with the pressures, temperatures, and rainfalls 
of all the places in which we are interested. These coefficients are 
plotted in figure 2, and in its top chart we see that the rise of 


SEASONAL WEATHER PREDICTION—WALKER 121 


Het a eer seumunee! 


| 
CN Play OE 


Mesos eee 


Bh vee 


FE 


De 


Sine 
want 
eas Si as) |) a a ea 
~ i} 


— 
Ae 
= > 
PSE : 
ee ee ee 
gee \ | 


EAL 
Pt} tt tp Ties e |i 4 
RHE 1 Nm MO > 


pox oA ores eer eeee [ee 


ee i 
ogee ; 


exe | Lee 
ies 


Aue 
- 
au 


ne eh a Se ee | 


Pe 


ies | ? 
ny 


yn! fl 
a 


ae 
sy 


a 
=a 


by 


ee 
Al se 

a 
Pl 
ele 
ele 


Ficur® 2.—Relations of North Atlantic oscillation with contemporary pressure, tempera- 
ture, and rainfall of December to February. Numbers based on series shorter than 
30 years are in brackets; those for areas are in circles. 


Bee 
a 
bert 
aoe 
all 
PGE 


Se 


Ly 
ae eee 
re 


| | ae) 


mane ASR 


Se 
go 
Se 


2 : EN 
ee | Se a ae a 

Ly ar oS 
aa ee Se 


rae) a 
apa 


Fits 
: TERS 


SLT 
Pie. 


| eal 
He cle tN Se 
: ie 


122 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


pressure with a positive fluctuation is greater as far east as Vienna 
and as far west as the Bermudas than it is at the Azores. There 
is also to be seen in the second chart conspicuous warmth in the 
east of the United States as well as in northwest Europe, and 
marked cold to the southeast of the Mediterranean as well as along 
the northeast of North America. On rainfall, in the lowest chart, 
the influence is less wide-spread. The small amount of persistency 
is shown in figure 3. The first of its three graphs shows how close 
are the relationships of pressure in December with the figures ex- 
pressing the fluctuations of the North Atlantic in that month; the 
second and third, which give the relationships of pressure and tem- 
perature in January with the fluctuations of the oscillation of the 
December before, show that little effect of the December conditions 
continues after a month. 

The more critical in my audience may object that if you are suffi- 
ciently astute in choosing your successive numbers for the fluctua- 
tion you can make a certain amount of agreement with any system 
of pressures and temperatures; and to this the reply is that the fit is 
very much closer than can be explained in this way. Others may 
urge that all these arguments are merely numerical, and quote the 
jibe that by statistics you can prove anything. But if you wish to 
understand phenomena you must collect the facts, and if they are 
numerical it is only in the very simplest of cases that you can see 
relationships by merely plotting curves and comparing them. Statis- 
tical methods are inevitably forced on us by common sense when we 
want accurate and reliable inferences from series of data, just as a 
sextant is forced on a sailor when he wants to determine accurately 
the altitude of the sun. One who has lost an important lawsuit, 
owing to the ingenious argument of the opposing counsel, may object 
that by logic you can prove anything; but that is an indequate de- 
fense for being illogical on all occasions. As a matter of fact, when 
studying relations of cause and effect statistical methods show us 
what quantities vary together, but strictly by themselves they tell us 
nothing as to causation. If we compare heights of fathers and sons, 
we learn that tall sons have tall fathers; but in spite of that fact 
we are not convinced that the child is literally father to the man. 

Let us consider an example from data published in 1906 regarding 
unemployment and illiteracy as measured by the percentage of per- 
sons who could not sign their name in the marriage register (fig. 4). 
Clearly the correlation coefficient between these two factors might 
lead to most undesirable inferences regarding the usefulness of edu- 
cation. But we could not expect to arrive at the truth if we ignored 
such an important fact as the amount of trade, and on admitting the 
data of this factor we see at once that faith in the value of our ele- 


SEASONAL WEATHER PREDICTION—WALKER 


Ficure 3.—Relations with the North Atlantic oscillation of December. 


123 


124 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


mentary schools need not be uprooted; for the revival of prosperity 
produced marriage, especially among those in a humble position who 
could not write, as well as a decrease in unemployment; so that the 
last two factors varied similarly. We see, then, that we may be mis- 
led if we do not take into account all the factors that may be opera- 
tive. In other words, statistical methods hke logarithm tables are 
invaluable as a tool for giving correct numerical results with the 
minimum of mental labor; but neither tool possesses imagination or 
judgment, and neither of them is a substitute for expert knowledge 
of the subject to which it is applied. 


So Nn o N + wo 
BS SS IS RS NS TS OR PSP ae a ik Cee ose eas $ 
a0 2 © © 8 8 &8 © & © 8&8 &@ B29 2 8 & 2 SB 2 a w 
S Ney — 


ILLITERACY AT MARRIAGE 


aia 


ae J\ 
[UAL ATER. 
‘ YA ity VAY 
: es 


oO 


/| \ 
ee eaat/ 


a] ee fe 


FiGurRE 4.—Illiteracy and unemployment. 


Let us now turn to the North Pacific Ocean, which, in spite of its 
limited access to the Arctic seas, is subject to fluctuations very simi- 
lar to those of the North Atlantic. A similar treatment yields figure 5, 
in which increased pressure gradients go with high temperature to 
the northeast and southwest, and low temperature to the north- 
west and southeast. It will be noted that in both the North Atlantic 
and Pacific Oceans a fluctuation is classed as positive when the pres- 
sure gradient is strong and the wind circulation is active. 

The largest known system of related seasonal weather is that 
called the “ southern oscillation ” (or “ southern fluctuation ”), which 
has features in the southern summer of December to February some- 
what different from those of the southern winter of June to August. 
It will be seen in figures 6 and 7 that at both times of the year the 


SEASONAL WEATHER PREDICTION—WALKER 125 


Arp TR | Det is 


A 


aESTSeeeU AE 
See ‘ nM mi, as oA a 4 
Ras ices ee 
Nmyhes (a2 s2kn aS 
Poe rE RPSL HOTT 
CARRE ey Pl 
Sane Ee 


A PN esa | 
relo|_[ psa Sy Stor si] | Y 


le Pa 


oP ALEC 
CERES PEEP gee 


Sea a ee i ee eB ed ee ee See ee 
aoe ee 


cous 
Bima 


Ise 


| [9 
IDE 
Pre Pee 


a 


ee 


ee 
Teall 


> eS 


. | 
i i 
\ 
ee ! 
x] i 
Sslc (Cx . 
ros 
» 
26 in mith 
LN) 2?) = le ‘ 
S e 0 


5 
: 
A 


Al 


See = 


iu 


eae 
Eee 


+ 
= 


Re 
a 
nN 
a 
= 


nS 
Saar 


Ficurn 5.—Relations of North Pacific oscillation with contemporary pressure, 
temperature, and rainfall. 


126 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


| aa tala PR 


A eis eT 


ea 
ar ts3 30 Wea 


H 3, 
Al A iss 
q RE ! 
fl - + 
ti | oe 
L A 
Ref KC a 4 
} q 
El 


i 
ib’ 


A LC 


Part bal Me 


25 beep 
fri D 
+r 
m 


¢ 
e 


SPR 


He 
ae 


me 
cae 


oe Bi 


ee wee) ee ine ieee 


Ficurp 6.—Relations of southern oscillation of December to February with contemporary 
pressure, temperature, and rainfall. 


SEASONAL WEATHER PREDICTION—WALKER 127 


if 


: 1 


se} 7, 
i 


= 


/ 
J 


ici 
Paci 6 99 A Ff RT) ES SE 


o 
My 
hy 


+ 
ail | 
. i 


ft. 
i 
A 
; 


iva it?s) eal? | =a ‘ : = 
res a 3 
ty, ae G rr yg 
iz s 
re | af = iis Sat H 
MRROATORS PROJECTION. (22) __|__ el BB) ] 
Tem Ss | iia ‘mie 


tr 
pt Se aR ae dee 


peers dea 


ES ee 
Neal | | “Tos 
PSRs 


i 


NG 


iy aaa 


| Fos 
we 


aed 
gas eee 


Ficure 7.—Relations of southern oscillation of June to August with contemporary pres- 
sure, temperature, and rainfall. 


(Qa IS a el 
PLE CL 


128 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


fluctuation is called positive when pressure is high in the southern 
Pacific and low in the Indian Ocean, and temperature is mostly low 
in the Tropics; but the economic importance is in connection with 
rainfall, for the fluctuation has a correlation coefficient of over 0.8 
with the summer rainfall of northeast Australia, over 0.7 with the 
monsoon rainfall of India and with the Nile floods, 0.6 with the 
rainfall of large areas in South America, and over 0.5 with that of a 
region in South Africa. 

A surprising fact comes out on comparing the numerical series 
giving the characteristics of the summer and winter values of this 
fluctuation, the control of the southern winter on the succeeding 
summer being expressed by a coefficient of 0.82, the corresponding 
data being plotted together in figure 8; but the relationship with 
the previous summer is only 0.2. The immediate effect of this is 


1880-t 1890- SI ISiO-Il 1930-31 


FOLLOYVING 
SUMMER. 


THE SOUTHERN OSCILLATION. 


Ficurp 8.—Forecast of December to February from previous June to August. 


that numerical values of the winter oscillation give us a means of 
predicting 3 months in advance, at any rate approximately, the sum- 
mer values of the oscillation and therefore of the pressure, tempera- 
ture, and rainfall associated with them. In figure 9 are the rela- 
tionships of the values of the pressure, temperature, and rainfall of 
December to February, with the numbers indicating the fluctuation 
of the previous June to August. These express relationships which 
have held for about 50 years, and show that we have arrived, not 
at a mathematical figment, but at a physical reality of commercial 
value. 

These methods of prediction can be improved on by study of the 
relationships of individual areas. For example, the coefficient of 
0.64 of rainfall of northeast Australia with the oscillation of the 
previous winter becomes 0.79, when we base it on previous pressure 
at Honolulu, Port Darwin, and South America; a comparison of the 


129 


SEASONAL WEATHER PREDICTION—WALKER 


al | 


re 
fs | PARAS || 
a | 


Sofa 


Ba} tz 


a er 
ey alae ly 


Re 


; aR aaS 


f i}? 
at F 
/ 
Pal il 
a | 


ie, Ar su oh saa Nie 
eva: chy sl 
Besa 3, aa 


By 
‘e 
im 


Y y pan Z 
== ene GA =~ < 
2 iss 
Y < ae D> 
| i 
’ 
‘ 
=a Rie Be an Bee a ag [eae 
= - = = = m we ~ 


tf} 
— 


= 
ere o emit beus Paar 6 Soe, USTED Lance . 


Figure 9.—Indications of December to February pressure, temperature, and rainfall 
from southern oscillation of previous June to August 


130 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


actual rainfall with that given by the formula is shown in figure 
10. Similarly, the 0.56 of South Africa becomes 0.72. But a cer- 
tain amount of the improvement effected in this way by selecting 
the biggest factors is bound to be fictitious, even when there appear 
to be adequate independent reasons for thinking that the relation- 
ships are real; and, if this precaution is ignored, the more promis- 
ing the formula, as indicated by the closeness of its apparent rela- 
tionship, the greater is the likelihood of disappointment. 

It must be admitted that a real control of 0.7 by previous condi- 
tions is about as good as is now available for forecasting, and the 
difference between the actual and the forecasted amounts will still 
be considerable; so predictions can only be issued with restraint if 
public confidence is to be won. The natural consequence is silence, 
except when the indications are markedly favorable or unfavorable: 
In a race with 30 starters a conspicuously good horse may, without 


Saha ALT | 
NAUATACAIN a 
ET 


FIGURE 10.—Northeast Australian rainfall, October to April. 


‘95 1900 


imi 


e 
ef 
Lae ale 


Pf | eee 5 


undue risk, be backed to come in within the foremost 6, and we may 
feel confident that a thoroughly bad animal will be in the last 6; 
but it would be unwise to hazard much on the likelihood that a com- 
monplace individual will finish among the central 6. It may at 
first sight seem a confession of weakness to issue no forecast when 
conditions appear roughly normal; but it is better to admit your 
limitations, and only speak when you can do so with some safety, 
than to issue predictions when they are little more than guesses. 
The objection is sometimes raised that though a foreshadowing 
of abundant or scanty rain over a region may be right four times out 
of five, owing to local variations the predictions will not be so suc- 
cessful when applied to a particular farm; and it must be admitted 
that this criticism is valid. But in England, as I learn from Sir John 
Russell, there are modifications of treatment and manuring that are 
appropriate before wet seasons and others before dry; in South 
Africa, in hilly country, the upper levels are better for cultivation in 


SEASONAL WEATHER PREDICTION——-WALKER 131 


wet years and the lower ones in dry years; in India, if the rains fail, 
cotton and millets will grow though the ordinary crops may perish. 
We may hope that, when our methods have improved, the predictions 
when applied to a particular farm will be right at least three times 
in 5 years; and if they are consistently acted upon, they will prove of 
material value in the long run. 

Of further applications of these methods some are worthy of a 
passing notice. For Siam, whose summer rain has a coefficient of 
0.7 with the contemporary southern oscillation, a former Indian col- 
league has worked out a foreshadowing formula with a relationship 
of 0.8. And at length China, which has suffered terribly from floods 
as well as droughts, is receiving attention. A graduate from Shang- 
hai, now working in London, finds that the Yangtse valley and three 
areas along the coast have enough data for a preliminary investiga- 
tion, and has worked out formulae for prediction with coefficients 
between 0.6 and 0.7. Mention should also be made of the researches 
of Okada in connection with the rice crop of Japan. 

Let us now turn from the academic to the practical, and see how 
far these theoretical methods justify themselves in actual experience. 
I believe that the earliest regular seasonal forecasts based on meteor- 
ological instead of astrological data were those of the Indian mon- 
soon of June to September, started half a century ago in India by 
H. F. Blanford, and depending mainly for their success on the ill- 
effect upon the monsoon of excessive winter or spring snowfall in the 
Himalayas; finally, however, he made the big generalization that 
droughts might be associated with unusually high pressure over a 
great part of Asia, at Mauritius and in Australia. Eliot continued 
the monsoon forecasts from 1887 to 1903, but data in those days were 
scanty; he attempted far too much detail, his mode of expression 
was somewhat pontifical, and the newspapers became sarcastic; so 
latterly he obtained immunity from criticism by printing the fore- 
casts as confidential documents. The gradual introduction of statis- 
tical methods in India has undoubtedly led to improvement; but, 
as we have seen, it is much easier to predict the rainfall of December 
to February than that of June to September, and the length of the 
series of Indian data is not yet great enough to give complete relia- 
bility. After careful scrutiny I estimate that of the forecasts issued 
before the monsoon periods from 1905 to 1932 two-thirds were cor- 
rect; but I consider that this is not good enough and that we have 
been too ambitious. Also while the approximate prediction formula 
of 1908 has stood the test of time with credit, the later ones of 1924 
for northwest India and the Peninsula separately, although certainly 
better in theory, have not, in the short period of trial, proved so 

36923—36——10 


132 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


successful. The contrast between the working of the formulae before 
and after their date of preparation will be seen in figure 11. 

Happily in Southern Rhodesia, which in 1922 adopted statistical 
methods similar to those of India with only 24 years of data to work 
upon, the results have been eminently satisfactory. Out of 11 years 
since publication was begun, there have been 8 in which a departure 
of over 3 inches was given by the formula, and in 7 of these the 
character was correctly indicated (fig. 12). 

At Batavia the efficient Dutch observatory under Braak started in 
1909 to issue forecasts founded on the simple rule that low pressure 
from January to June was followed by abundance of rain from July 
to December. The rule demanded a more complete persistence of 
pressure than actually prevails, and in 1927 Berlage adopted a 
formula based on three local conditions, together with data of the 
rare rains of northern Peru: this gives, on paper, a relationship of 
over 0.8. 

In Australia calamitous failures in the rains have long demanded 
forecasts, and these led to the production of weather cycles, which 
broke down so frequently that their use was discarded. In spite of 
this experience, however, Hunt, the Commonwealth Meteorologist, 
put forward in 1929 a theory of a 4-year period, based on the cool- 
ing effect of the wide-spread growth of luxuriant vegetation pro- 
duced by the rainfall in areas that were parched. I believe that the 
theory has not been adopted officially. 

When we turn from the tropical and subtropical to the temperate 
regions, where the persistence of conditions is in general conspicu- 
ously smaller, we must expect greater difficulties in making long- 
range forecasts. In America the relations of weather and crops 
have probably been worked out more scientifically than in any other 
country, so that the commercial value of reliable predicting has long 
been recognized; and not only by farmers, but by those interested 
in water supply, in power schemes, in transport, and in commerce 
generally. Thus one of the Californian hydroelectric companies 
makes its own forecasts, because it may spend $4,000,000 more for 
crude oil in a dry than in a wet year. In a country of exuberant 
vitality it is not surprising that many efforts should have been made 
to provide for the general demand. In an article in 1927, by C. F. 
Brooks, we read that in the absence of forecasts “ western farmers 
have paid a ‘rainmaker’ thousands of dollars at a time” actually 
to produce rain; that during the previous 10 years “ well over 50 
long-rangers of greater or lesser repute have been publishing and, 
in a great many cases, accepting money for worthless or damaging 
forecasts.” As in Europe, they have predictions based on occur- 
rences on critical days, such as Candlemas or St. Swithin’s, as well 


SEASONAL WEATHER PREDICTION—WALKER 133 


1924 FORMULAE 


—— JUNE-SEPT. ‘Limit’ = -g42J-eo0 = 3°48 


TIINAWA FR AANMIUAVVAVAAIU TE ent 
A AAV a WNL 


ACT 
oN lyrin 


N.W. INDIA Tune-Sept. ‘Limit’ = 314. 
| I : | ! fl. L ! 


+ ACN TI ELTA AYU TT WVAVAVAVES 
NA ANA OSA MAI) 


AE Sais yi 2 = 
Y at 
1875 80 85 5 30 95 960 05 10 


ACTYAL 


S. RHODESIA RAINFALL, OCT-APR. 


FiGurp 12. 


134 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


as on the doings of animals and birds. Thus Brooks quotes from an 
almanac of 1870: “When you see 13 geese walking injun file and 
toeing in you can deliberately bet yure last surviving dollar on a 
hard winter, and grate fluktuousness during the next seazon in the 
price of cowhide boots.” 

Undeterred by the difficulties, G. F. McEwen, of the Scripps Insti- 
tution of Oceanography in California, has for some time been fore- 
casting rainfall by empirical methods, and at first attained con- 
siderable success, largely on the basis of a short series of ocean tem- 
peratures. These, however, as he has recognized, have not of late 
made good their early promise; and he is driven to using sun-spot 
numbers, a cycle of 5 or 6 years, and a complex method of smoothing 
in the hope of attaining reliability. 


Hn 


-300 
NEW F OUNDLAND ICEBERGS. MARCH =—-TULY 


TVELTITILEVT ELI UELTIVLELLILHVELLIVIL 


FiGur® 13.—Atlantic icebergs and the previous oscillation. 


A less difficult task confronts the International Ice Patrol Service 
of the United States in their desire to obtain advance information 
of the amount of Arctic ice drifting into the western North Atlantic. 
I do not know what progress has been made, but the dependence on 
the previous North Atlantic oscillation, with which there is a coeffi- 
cient of 0.60, would appear to suggest a useful starting-point 
(fig. 13). 

In Europe the only seasonal forecasts known to me that have a 
scientific foundation, and have been made for a number of years, are 
those of Sweden and Russia. In Sweden Wallén has for 18 years 
made predictions for rainfall and for the height of water. Regard- 
ing rainfall, he smooths by taking the sums of consecutive 12 
months; and then, assuming that the nature of the fluctuations so 
disclosed will not change suddenly, he forecasts that the total rain- 
fall of some definite period, usually 6 months or a year, will be 
greater, or less, than it was in the previous year. Now a moment’s 


SEASONAL WEATHER PREDICTION—WALKER 135 


thought will make it clear that a man will in the long run be right 
three times out of four if, when last year’s rain was in defect, he 
predicts an increase, or if it was in excess he forecasts a diminution. 
So I think it is not unfair to say that success under the Swedish 
conditions begins at 75 percent. The success actually attained is 82 
percent, which is encouraging; and the success in dealing with water 
levels is phenomenally great, being slightly over 90 percent. 

The seasonal conditions of Russia, which are not very closely 
related with those of the North Atlantic, have been carefully 
examined by W. Wiese. In 1923 the Hydrometeorological Office 
of Leningrad started publishing forecasts of ice in the Barents Sea, 
and out of 17 monthly forecasts of which I have information 15 were 
approximately correct. Predictions of the rainfall of April and 
May in central and east Russia were initiated at the same time, and 
all the first 4 years they were approximately correct; the biggest 
difference between the actual and forecasted amounts was only 
20 percent. 

No account of European activity in this department could ignore 
the enterprise of Prussia 4 years ago in creating at Frankfort a. M. 
a post for research into long-period forecasting. Dr. Franz Baur 
has for the present wisely limited his activity to the issue of a fore- 
cast of 10 days; it would be impossible to expect results under these 
conditions which are as accurate as those of daily weather work, but 
I am informed that their standard fully demonstrates the trust- 
worthiness of the principles employed. It is only by experiments of 
this kind that satisfactory methods of prediction can be developed. 

We may now pass to the consideration of improvements in our 
methods, and the fundamental question at once arises—what is the 
physical cause of seasonal fluctuations? We should naturally look 
for it in variations in the energy received from the sun, and it is 
surprising that an increase in solar activity as measured by sun spots 
produces a slight decrease in the circulations in the North Atlantic 
and the North Pacific. In the southern fluctuation the tendency of 
numerous spots is to produce positive values, but even there the 
biggest seasonal correlation coefficient is only 0.26, which is much 
too small to provide the explanation that we seek. Moreover, it 
probably arises because a positive fluctuation is associated with 
low temperatures between latitudes 40° N. and 40° S., and these are 
linked with an increase in sun spots. 

In order to verify that the daily pressures are not produced by 
short-lived emanations from the sun tabulations of the relationships 
between daily and weekly, as well as the monthly and seasonal, values 
at distant places have been made; for if the daily values over the 


136 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


earth are controlled from outside there will be close parallelism 
between these daily and weekly pressures. It was found that be- 
tween 31 daily contemporary pressures at Honolulu and Batavia 
the coefficient was —0.12, which is negligible; between 39 weekly 
ones it was +0.10; between 47 monthly June pressures it was — 0.12; 
and between the pressures of 47 three-monthly seasons of June to 
August it was —0.46. Between Samoa and Batavia December 
pressures the coefficient was —0.88, and for the season December to 
February it was —0.60. Thus it is between the characteristics that 
persist over months, not over days or weeks, that relationships exist. 

Being forced off short-lived phenomena we search for an expla- 
nation in terms of slowly changing features, such as ocean tempera- 
tures; and the big variations from year to year in the amount of 
pack ice in the antarctic seas forces itself on our attention. But 
here the reports of 12 years from the South Orkneys yield a rela- 
tionship of only 0.32 with the southern fluctuation, instead of about 
0.9, as we should want in a prime cause; and the variations at the 
South Orkneys come after rather than before those of the southern 
oscillation. The biggest ocean region is the Pacific, and as an index 
of its seasonal water temperature we may use the corresponding 
air temperature of Samoa, which shows a greater persistence than 
any factor in the world as yet examined; the relationship between 
its summer and autumn values is as large as 0.94. But unluckily the 
correlation coefficients show clearly that it is mainly the southern 
fluctuation in winter that controls the Samoa temperature. Thus, 
a short-cut to the explanation of our fundamental problems seems 
as far away as ever. Our three big fluctuations each form a system 
of changes which are apparently held together by meteorological 
links; and there is, in my opinion, as yet no satisfactory proof of any 
free periods associated with them. 

Let us now consider in what direction new developments seem 
likely. A moment’s reflection will convince us that in view of the 
variations of rainfall over large areas, such as Brazil and Central 
Africa, which are scarcely affected by the three big fluctuations, 
there must be others, some of which are probably on a big scale. For 
example, we should, on the analogy of the northern oceans, expect a 
fluctuation of pressure between the antarctic low-pressure belt and 
the high-pressure belt of 30° S. We are at once reminded of the 
marked opposition which Simpson found during the short period of 
4 years for which data were available between pressure at McMurdo 
Sound and that in a belt round the earth extending from about 25° 
S. to about 50° S. All students of this subject have found it natural 
to regard the fluctuations in the amount of pack ice in the antarctic 
seas as likely to control sea and therefore air temperatures over 


SEASONAL WEATHER PREDICTION—WALKER 137 


large regions, and the most southern station from which as many as 
25 years of data are forthcoming is the South Orkneys. Its winter 
pressure does show the opposition that we should expect with that 
of Australia, but not with the high-pressure region of South America 
or Mauritius; so that it gives little support to the view that there is 
a general pressure oscillation between the low- and the high-pressure 
belts of the Southern Hemisphere. On the other hand, the air tem- 
perature at the South Orkneys may be regarded as an index of the 
sea temperature; and as the ocean current through the Drake Pas- 
sage would take about a year to reach South Africa, we are not 
astonished at the relationship of 0.56 between the South Orkneys 
air temperature in winter and that of the next winter at Cape Town. 


1900 Brain PTT] ame ag 1925 


TAR TAN 
Prt Yo i.. 
III NSTI 
AYN ASAT 
CAS NY Von 
° sar ie ene aoe 


Figurn 14.—Departures from normal of Ano Nuevo temperature, June to August, and of 
Cape Town temperature, June to August, of the following year. 


This is not, however, as close as the corresponding relationship of 
0.84 shown in figure 14 between the winter temperature at New 
Year Island at the extreme southeast of South America, and that 
at Cape Town a year later. The far greater influence of New Year 
Island is interesting, since between Cape Horn and the South Ork- 
neys there runs ENE. a line which the recent Discovery expedition 
calls the Antarctic Convergence; here the cold antarctie water meets 
the northern warmer water and dives under it. So while the current 
flowing past New Year Island can after a year approach South 
Africa, that from the South Orkneys is cut off by a barrier. 

If I may summarize these remarks, I would say that although 
seasonal foreshadowing is still very imperfect it has come to stay; for 
situations will arise from time to time, as they did in India in 1905, 
in which it can be foreseen with practical certainty that rains will 


1388 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


fail and a warning will then be of great value. But those who pre- 
pare formulas by the selection, based merely on the closeness of their 
apparent relationship, of a few out of many factors must remember 
that they cannot expect the value of all these factors to be main- 
tained ; and if they have a forecasting formula which on paper works 
out with a coefficient of, say, 0.75, they must realize that this is in 
reality probably not more than 0.6, or in some cases even.0.4.. And I 
would plead for a much severer standard in handling questions of 
periodicity. If these views are right, no anticipations should be 
published except on the strongest evidence of excess or defect until 
the experience of 15 or 20 years has justified a less cautious policy. 

Finally I would express the hope that the subject may, by its 
potential value to the race, and by the many-sided nature of its 
interests, enlist the services of some of my hearers who are qualified 
to unravel some of its intricacies. 


THE SUN’S PLACE AMONG THE STARS?’ 


By WALTER S. ADAMS 
Mount Wilson Observatory of the Carnegie Institution of Washington 


[With 5 plates] 


In previous lectures in this series you have had described to you 
the many skillful and important investigations that have given us 
such extensive knowledge of the sun as a source of light and heat, 
of its composition, physical nature, and characteristics, and of the 
far-flung gravitational attraction by which the sun holds the planets 
in their courses. I should like to consider with you the sun in its 
relation to the stars, how it compares in size and brightness and mass 
with the vast number of other suns by which it is surrounded, and 
what from analogy and comparison with the stars we may reason- 
ably expect its future life history to be. 

It will perhaps be of interest at the outset to interpret our subject 
literally and to define according to the best of our knowledge the 
geographical location of the sun among the stars. The stars in the 
observable universe are grouped into systems scattered like islands 
throughout space and separated by enormous distances, which light 
requires millions of years to traverse. These systems of stars, the 
extra-galactic nebulae of the astronomer (pl. 1, fig. 1), extend out 
to the limits of the largest telescopes and, generally speaking, seem 
to be distributed uniformly; that is, the same volume of space in 
all directions and at all distances contains about the same number of 
stellar systems or nebulae. Occasionally clusters of nebulae are 
found in which hundreds of these objects appear upon a single 
photograph, but from a statistical point of view these clusters do not 
affect the uniformity of the distribution seriously. The space be- 
tween the nebulae seems to be singularly free from matter; probably 
some traces of gas and of cosmic dust are present here and there, but 
observations of the light of the most distant nebulae show that even 
throughout these immense distances there can be but very little 
obscuring material. 


1The fourth Arthur lecture, delivered at the Smithsonian Institution on Dee. 18, 1934. 
139 


140 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The sun is situated within one of these systems of stars, which 
is known as the galaxy. Like most other well-developed stellar 
systems containing great numbers of stars it is not round but lens- 
shaped in form, with a length some 5 to 10 times its thickness 
(fig. 1). As we look out into the galaxy from our position inside, 
the circle of the Milky Way forms the largest dimension of our 
lens, or the equator of our galaxy, and we see a vast number of 
stars because we look through a great depth throughout which they 
are scattered. At right angles to the galaxy where the thickness 
is much less the number of stars is also much less. Our system of 
stars is probably not definitely bounded but fades off more or less 
irregularly intoempty 
space, and included 
within it are not only 
stars but clouds of 
gas, cosmic dust, star 
clusters, star clouds, 
Figure 1.—Diagram of our stellar system. The smaller and the numerous 

local system about our sun is also indicated. 3 f 
other forms in which 
the material that builds the stars can occur. Especially in the direc- 
tion of the center of the galaxy in the constellation of Sagittarius 
are there great masses of dark cosmic clouds, nebulous stars, and 
star clouds that point to a marked concentration of matter in this 
region (pl. 2). 

Our galaxy is about 100,000 light-years along its greatest diameter, 
and the sun is situated about halfway between the center and edge, 
or some 25,000 or 30,000 light-years from the center, and slightly 
north of the equatorial plane. As a result of modern investigations 
it is certain that the entire galaxy is in rotation about its center or, 
more accurately, that the stars are in revolution about the center of 
gravity of the system just as the planets are in revolution about the 
sun. The stars nearest the center revolve most rapidly and in the 
shortest period. The velocity of revolution of the sun about the 
center of the galaxy is about 165 miles a second, and it would require 
some 225 million years for the sun to complete one entire revolution. 

Scattered throughout this great volume of space are the stars that 
constitute our system, variously estimated at from 100 to 200 billion 
in number. The difficulty in determining the number of the stars 
arises from the necessity for making the proper allowance for the 
great proportion of faint small stars, which certainly outnumber 
greatly the more luminous stars in our galaxy. These small stars, 
the dwarfs of our system, which we shall have occasion to consider 
later, become so faint at great distances that they are quite beyond 
the reach of the largest telescopes. Accordingly such stars can be 


LOCAL SYSTEM 


a a 
x 


GALACTIC PLANE 


SUN’S PLACE AMONG THE STARS—ADAMS 141 


observed only in a limited volume of space around the sun, and it is 
only by assuming that their frequency throughout the whole galaxy 
approximates that in this small sample volume that any estimate 
can be made of their total number. 

If we sum up our conclusions, therefore, we find that our sun is 
one of many billions of stars forming a flattened system similar 
to many other systems scattered throughout the observable region 
of space. It was long thought that the size of our system was con- 
siderably greater than that of the nearer extra-galactic nebulae which 
can be studied in detail, but recent observations have tended both 
to reduce the earlier estimates of the size of our galaxy and to 
increase the size of the outer stellar systems. As a result the size 
of our system of stars is now believed to be quite comparable with 
that of the Andromeda nebula (pl. 1, fig. 2), one of the nearest 
and best observable of the outer nebulae, which has a distance of 
about 900,000 light-years. 

The total mass of our galaxy, including not only the stars but 
all the other material contained within it, is estimated at about 
160 billion times the mass of our sun. This value is derived from 
the rotation of the galaxy. So large a figure gives an impression 
of considerable average density, but the size of the galaxy is so great 
that the actual density is extremely small. In the vicinity of the 
sun the average separation of even the faintest dwarf stars is of 
the order of 10 light-years. Throughout the observable universe 
the average density is, of course, very much lower, and recent investi- 
gations give a value corresponding to that of 15 grains of matter 
distributed uniformly throughout a volume of space 1,000 times 
the size of the earth. 

When we begin to consider the place of the sun among the stars 
as a physical body and attempt to compare it with other stars we 
naturally start with its brightness. We know that the sun is very 
bright and that the stars are faint, but we also know that the stars 
are very far away. A natural question to ask is how the sun would 
compare in brightness with the average stars of the night sky if 
it were removed to the average distance of a star. The answer is 
comparatively simple. Among the stars, just as on the earth, the 
so-called “ inverse-square law ” of light and heat holds accurately in 
the absence of any obscuring material. This means that if we double 
the distance we divide by four the amount of light and heat we 
receive from an object, whether that object be a candle, the sun, or 
a star. If the sun were 10 times as far away from us as it is we 
should receive only one hundredth part of the present amount of 
light. Now the average distance of the sun is about 92,000,000 miles, 
and the distance of an average nearby star is at least 33 light-years 


142 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


where a light-year is the distance which light travels in a year at 
the rate of 186,000 miles a second. Roughly a light-year is 6,000,000 
million miles. If we carry through the arithmetic we find that at a 
distance of 33 light-years the sun, although still visible, would be 
among the fainter of the stars seen with the naked eye, and only 
about three times as bright as the faintest star that can be seen 
with the eye under the most favorable conditions. The great ma- 
jority of the naked-eye stars are much farther away than the 33 
light-years which we have assumed, so that as compared with these 
stars our sun is a relatively insignificant body. 

This result shows us at once that the stars differ greatly from one 
another in the amount of light they give out, or, in other words, 
in their luminosity or candlepower. If all the stars had the same 
luminosity their brightness as we see them would depend solely 
upon their distance, but since this is not the case both distance 
and luminosity are involved. The inverse-square law, however, at 
once gives us a simple relationship between apparent brightness, 
intrinsic brightness or luminosity, and distance, and this relation- 
ship forms the basis of all studies of the distribution of stars accord- 
ing to their true brightness. Since this relationship is a simple 
equation between three quantities, we can always find the third quan- 
tity when the other two are known. But the apparent brightness 
or magnitude of a star may be assumed to be known: it is obtained 
from direct observation, and existing catalogs list hundreds of 
thousands of stars with accurately measured apparent magnitudes. 
So all we need to solve our equation is to know either the distance, 
in which case we can determine the luminosity directly, or the 
luminosity, in which case we can determine the distance. 

The first and for many years the only way in which the luminosity 
of a star could be obtained was from a previous knowledge of its 
distance. Naturally the earliest method of measuring stellar dis- 
tances grew out of accurate measurements of position. If the posi- 
tion of a star with reference to the faint stars in the background 
of the sky can be measured with great accuracy at a certain time, 
and again 6 months later when the earth is on the opposite side of 
its orbit around the sun, we have a base line of about 185,000,000 
miles by which to measure its distance. As seen from the ends of 
this line the star should be slightly displaced with reference to the 
fainter stars in the background which are vastly more distant. If 
this angle can be measured, it is a simple matter, since the length of 
the base line is known, to calculate the distance. The method is very 
similar to that used in ordinary surveying. ‘The difficulty arises, how- 
ever, that the stars are so far away that even with this great base 
line the angle to be measured is extremely small. In the case of 


SUN’S PLACE AMONG THE STARS—ADAMS 143 


but a single star does it amount to as much as 1’’ of arc, and for 
the vast majority of stars it is less than one-tenth of this amount. 
A tenth of a second of are with the telescopes usually employed for 
these investigations corresponds to about 0.00015 inch on the photo- 
graphic plate; but such is the accuracy of the method and the skill 
of the observers that the distances of about 3,500 stars have been 
determined in this way. The measurements give directly a small 
angle, and one-half of this angle is called the parallax of the star. 
It corresponds to the angle subtended by the distance of the earth 
from the sun as seen from the star. The full moon as seen from 
the earth subtends an angle of about 1,900’ of are. 
This direct or trigonometric method of determining the distances 
of the stars is an extremely valuable one, and gives us our most 


5 
Right Ascension 


Ficure 2.—A moving cluster of stars, the Hyades. (Lewis Boss.) 


accurate knowledge regarding the distances of the stars in the 
neighborhood of the sun (pl. 3). Beyond distances of 300 or 400 
light-years, however, its value in the case of individual stars falls 
off rapidly, since at these great distances the parallaxes are so 
small that the inherent error of measurement becomes a large frac- 
tion of the parallax, and finally equals or surpasses it. For the 
most distant stars, therefore, we must find other methods that do 
not depend upon direct measurements of position. 

Several such methods are known, some of which give us with 
high accuracy not the distances of individual stars but the aver- 
age distance of groups of stars of different brightness. Still others 
are applicable only to special classes such as double stars, or the 
interesting moving clusters in which the stars move together through 
the galaxy just as flocks of birds move together through the air 
(fig. 2). All these methods give parallaxes and distances directly, 


144 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


and from these distances the luminosities can be calculated readily 
by the aid of the relationship which we have already considered 
connecting apparent brightness, distance, and luminosity. 

There are, however, other methods that reverse the process, and, 
instead of deriving the distances directly and then the luminosities, 
we derive the luminosities directly and then the distances. A simple 
example will illustrate how such a method operates. Suppose we 
observe an incandescent lamp some distance away and can measure 
accurately the amount of light we receive from it, or its apparent 
brightness. If we know its distance we can determine its candle- 
power by the aid of the inverse square law as we have already seen. 
If, however, we do not know its distance but do know its candle- 
power, we can use the same law to determine the distance. So in 
the case of the stars the question at once arises whether there is 
any means for determining their candlepowers or luminosities 
directly. 

There is a class of stars in the sky that vary in light in a peculiar 
way throughout a definite period. A careful study of stars of this 
class in star clouds where they are known to be at closely the same 
distance, and of others at known distances, has led to the estab- 
lishment of a law connecting the luminosities of such stars with the 
length of period of their light-variations. This law is quantitative, 
so that the luminosity can be determined when the period of varia- 
tion is known. Stars of this character have been recognized in the 
stellar systems of outer space, their periods of light-variation have 
been observed, and from these periods the luminosities of these 
stars have been derived. These in turn give us at once the distances 
of the nebulae of which they form a part—the only accurate means 
as yet devised for determining the distances of these enormously 
remote objects. 

This method illustrates one of the direct ways in which stellar 
luminosities can be determined for stars of a certain class. Another 
method which has very wide applications depends upon the physical 
properties of stars, and a somewhat more detailed analysis will per- 
haps be of interest, not only because the method has been fruitful 
in its results, but also because it illustrates many of the principles 
used in modern astrophysical study. 

The temperatures of the surfaces of stars have been measured by 
several different methods and are known with considerable accuracy. 
As we might expect they differ widely: some of the dull red stars 
have temperatures as low as 2,000° on the Centigrade scale, while 
many of the blue stars reach temperatures of 20,000° or more. The 
temperature of the surface of our sun is about 6,000° C. or nearly 
11,000° on the Fahrenheit scale. One of the ways in which the 


SUN’S PLACE AMONG THE STARS—ADAMS 145 


temperature of a star is very quickly recognized is from the analysis 
of its light into a spectrum. The distribution of the light of dif- 
ferent colors throughout the spectrum, the presence or absence of 
certain lines, and many other features determine the temperature of 
the star rather definitely (pl. 4). So stars of the same spectral type 
have closely the same temperature. Now, it is a fact of observation 
that the masses of stars of the same spectral type do not differ very 
greatly. A factor of 10 would cover the vast majority of cases. We 
know this from a great variety of evidence, mainly from double 
stars for which the masses can be calculated accurately. On the 
other hand, we know that the luminosity or candlepower of stars 
shows enormous variations, stars of the same spectral type some- 
times differing as much as hundreds of millions of times in the 
amount of light they give out. 

Since the surface brightness, or the amount of light each unit of 
area gives out, is nearly the same for stars of the same temperature 
or spectral type the only explanation for the immense difference in 
luminosity is a great difference in size. In other words, the very 
luminous stars must be very large as compared with the fainter 
stars. Since the masses, however, do not differ very greatly, the 
brighter stars must be very much less dense than the fainter stars. 
We conclude, therefore, that many of the brighter stars in the sky 
must be enormous masses of gas of very low density, a conclusion 
fully borne out by measurements of diameter with Michelson’s inter- 
ferometer, which show the existence of great red stars as much as 
200,000,000 miles in diameter, or more than 220 times the diameter 
of our sun. (Fig. 3.) 

Such stars are recognized through a study of their spectrum. 
When a star gives out light, the atoms of the gases in its atmosphere 
are in an excited state and absorb light in the particular wave lengths 
that correspond to the spectrum lines of each element involved. So 
we get a pattern of lines of all the elements in the star’s atmosphere. 
When the temperature of the star is low, we obtain the lines of 
what is called the neutral atom, the atom in its normal state, but 
if the temperature is high the atom is modified by having one or 
more of its electrons pulled off and becomes what we call ionized. 
Ionized atoms give rise to a different class of lines from neutral atoms, 
but in stars of ordinary temperature both sets of lines are usually 
present, some of the atoms being neutral and some ionized. In 
stars of low temperature the neutral lines are the stronger, in stars 
of high temperature the lines due to the ionized atom. 

There is, however, another factor that favors the detachment 
of electrons from atoms, and this is the density of the star’s atmos- 
phere. If the density is low, there are fewer collisions and fewer 


146 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


STAR DIAMETERS 


MEASURES MADE BY PEASE WITH THE 20-FOOT MICHELSON 
INTERFEROMETER ATTACHED TO THE 100 INCH HOOKER TELESCOPE 
OF THE MOUNT WILSON OBSERVATORY 


OTHER ASTRONOMICAL DISTANCES FOR COMPARISON 


STAR ANGULAR DIAMETER DISTANCE IN LINEAR DIAMETER 

; SECONDS OF ARC LIGHT YEARS MILES 
ANTARES ALPHA SCORPII 0.040 385. 430,000,000 
ORBIT OF MARS 282.000.0090 
MIRA OMICRON CET 0.056 163. 260,000,000 
BETELGEUSE ALPHA ORIONIS 0.047 IOS. 218,000,000 
ORBIT OF EARTH 186,000,000 
SCHEAT BETA PEGASI 0.021 25). 150,000. 000 
ALDEBARAN ALPHA TAURI 0.020 53. 30.000.000 
ARCTURUS ALPHA BOOTIS 0.020 SF. 20,000,000 
SUN 1922.40 0.000016 866.000 
EARTH 


8.000 


LIGHT YEAR = 5.89 x 10 MILES 


ANTARES 


=< ORBIT OF MARS _ | 
S . 


MIRA 


PETELGEUSe 
T OF 
“Os oO FARTy . 


SCHEAT 


- 
Sfereasaie © 


FiIcurE 3.—Relative diameters of stars measured with the interferometer (Mount Wilson 


Observatory). The circles show the size of certain stars relative to the sun and to the 
orbits of the earth and Mars. 


SUN’S PLACE AMONG THE STARS—ADAMS 147 


opportunities for a detached electron to reunite with an ionized 
atom. So we should expect the lines due to the ionized atoms to be 
strong in the spectra of stars of low density and weak in those of 
high density. This is just what observations show. An interesting 
application of this theory is found in the case of the spectrum of 
the sun’s atmosphere (pl. 5, fig. 1). In the upper levels of the 
atmosphere the lines due to the ionized atoms are much stronger 
than at lower levels and this in spite of the fact that the tempera- 
ture is lower. The lower density is the significant factor and leads 
to a great predominance of ionized atoms. 

The application of these principles to the problem of determining 
the luminosities of stars is very simple. If we select two stars of 
the same spectral type whose distances have been measured by any 
one of the methods I have described, one of which has a high 


How INTRINSIC BRIGHTNESS AFFECTS SPECTRAL LINES 
SPECTROPHOTOMETRIC CURVES 


61 Cyqni=* Sun's brightness 1 Cassiop = Sun's brightness 
90! =i5 q P q 


Q Tauri =115 Sun's brightness Polaris = 3000 Sun's brightness 
| ' | ' ' ' I 
4454 4461 4215 4226 4233 4246 4250 


Ficure 4.—In such tracings the height of the curve shows the intensity of the line. 


luminosity and the other a low luminosity, we find the lines due 
to the ionized atom strong in the star of high luminosity because 
the density is low. By taking a sufficient number of stars of known 
distance and luminosity a correlation can be established between 
the intensities of ionized and neutral lines and the luminosity. 
Then in the case of any other star whose spectrum can be photo- 
graphed it is merely necessary to measure the intensities of the 
selected lines and from the correlation-curve to read off the corre- 
sponding luminosity or absolute magnitude. In practice, pairs of 
neighboring lines are selected, one of which varies greatly with 
luminosity whereas the other is comparatively insensitive (pl. 5, 
fig. 2). In this way each spectrum of a star can be treated inde- 
pendently, and no absolute scale of intensities is necessary (fig. 4). 
This is, very briefly, the method for deriving the luminosities of 
stars directly from their spectra. It is not so accurate as the method 
of angular measurement, the so-called “ trigonometric method ”, for 
36923—36——11 


148 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the stars in our immediate neighborhood, but for more distant stars 
it is superior since its accuracy is independent of the distance. Thus 
the two methods supplement each other in a most valuable way, and 
between the two we have acquired a knowledge of the luminosities 
and distances of about 6,000 individual stars. 

When we begin to consider these results, we are led to some very 
interesting conclusions. In the first place, we find that the apparent 
brightness of a star as we see it may bear very little relationship to 
its real brightness or luminosity. Sirius, apparently the brightest 
star in the sky, is comparatively near us and gives out about 25 times 
as much light as our sun; Canopus, the second brightest star, is 
very far away and is almost certainly 10,000 times as luminous as 
the sun. Similarly Procyon, one of the brightest of the stars in the 
winter constellations, has 5 times the luminosity of our sun, while 
Rigel, the brightest star in Orion and of nearly the same apparent 
brightness as Procyon, gives out from 10,000 to 15,000 times as much 
light asthe sun. The color of Rigel is bluish white, and its tempera- 
ture is very high, so that its surface brightness is great. On the 
other hand, Betelgeuse, the other chief star in Orion, is red and has 
a low temperature and surface brightness; its diameter, however, is 
so enormous—over 200,000,000 miles—that its luminosity is nearly 
1,500 times that of the sun. 

The contrast between the luminosities of these giant stars and the 
faint dwarf stars is very great. The faintest star intrinsically of 
which we have any knowledge is the small companion of the nearest 
star in the sky, a Centauri. This star has a distance of 4.3 light- 
years, and its luminosity is 0.00006 of that of the sun. About a 
dozen stars are known the luminosity of which is less than 0.0001 
part of that of the sun. So we find that among the stars already 
studied the luminosity or candlepower varies through a range of 
at least 200,000,000. This factor would be multiplied at least a 
thousandfold if we were to include the brightest of the new or 
temporary stars which suddenly blaze out and die away within a 
few days or weeks. The luminosities of some of these stars must 
be at least a million times that of our sun. So we find that the Bib- 
lical statement that “one star differs from another star in glory” 
is even more true of the stars as they really are than as they 
appeared to the eyes of the shepherds of Palestine. 

A very remarkable result is found when the stars are grouped 
accerding to spectral type, or surface temperature, and their true 
luminosities. (Fig. 5.) The resulting diagram resembles a reversed 
7, with the faint low-temperature stars lying along the stem of the 
figure and the bright low-temperature stars along the upper horizon- 
tal bar. Between the two there is a wide gap in which few or no 


SUN’S PLACE AMONG THE STARS—ADAMS 149 


seeepentonsti lg ee Pl ae 


eeitt 
BAddece: - 
eBaRaee: st - 
aahheons:|-- 
Agec-+ 


ce 


ix 


tharsen 


Effective Yemperature 
Blue Yellow Red 


Ficure 5.—Luminosities of 4,179 stars as derived by the spectroscopic method. Giants 
in the upper part of the diagram, dwarfs below. At the left the two sequences run 
together. (Mount Wilson Observatory.) 


150 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


stars are found. These two classes of stars, to which the names 
“giants” and “dwarfs” have been given by astronomers, differ 
enormously in luminosity, the average low-temperature giant being 
at least 10,000 times as bright as the corresponding dwarf. This 
conclusion, originally drawn from trigonometric observations, is 
fully confirmed by the luminosities of nearly 4,200 stars recently 
determined by the spectroscopic method. 

In general, stars may be divided according to luminosity into 
three classes, dwarfs, giants, and extremely bright stars that may be 
called supergiants. The separation between dwarfs and giants is 
widest among the stars of lowest temperature and becomes pro- 
gressively less for stars of higher temperature, the dwarfs becoming 
brighter and the giants slightly fainter. Some stars of intermediate 
luminosity appear among these stars of increasing temperature, and 
the two chains of dwarfs and giants come together and may even 
cross among stars somewhat hotter than the sun with temperatures 
of 7,000° or 8,000° C. The supergiants, which include the most 
luminous stars in the sky, are found among stars of all tempera- 
tures and show a much greater range in luminosity than either the 
giants or the dwarfs of the same spectral type or temperature. 
They are especially numerous among the stars with temperatures 
slightly higher than that of the sun; in fact, stars of these types 
seem to contain few normal giants, the great majority being either 
dwarfs or stars of the supergiant class. Another interesting fact 
about the supergiants is that a large proportion of them vary in 
light, and it seems probable that such variation indicates a kind of 
instability that is associated with great size and high luminosity. 

Perhaps the single most interesting result which comes from a 
study of the luminosities of stars is the remarkable tendency to 
group around definite values of brightness. This is especially 
marked in the case of giant stars, although very evident among the 
dwarfs. About 90 percent of giant stars with temperatures near 
4,000° C. have the same luminosity within a range of twofold or 
threefold. In other words, most stars of a given temperature, like 
the bulbs of our electric lamps, are built to give out a definite num- 
ber of candlepower and do not show the almost infinite range in 
luminosity we might so readily expect. The luminosity especially 
favored among the giant stars with temperatures less than our sun 
is about 100 to 150 times that of the sun. It does not change rapidly 
with decrease of temperature but on the whole increases slightly for 
the cooler giants. This is doubtless due to the larger size of these 
stars, the increase in the area which emits light more than counter- 
balancing the smaller amount given out by each unit of surface. 


SUN’S PLACE AMONG THE STARS—ADAMS 15 


Among the dwarf stars, on the other hand, the change of lumi- 
nosity with temperature is very marked. As the temperature de- 
creases the luminosity decreases regularly and then drops abruptly 
as we reach the coolest stars. This is to be expected as the limits of 
visible radiation are reached and the light of the stars goes out. 
The dwarf stars are comparatively small, dense bodies, and the 
lower the temperature the less massive and the denser they are 
found to be. So there is no increase of size as among the giants to 
balance the effect of the decrease of surface brightness due to 
decreased temperature. 

Our sun belongs to the sequence of dwarf stars that forms an un- 
broken chain between the faintest stars intrinsically of which we 
have any knowledge, stars that give out less than 0.0001 part the 
light of the sun, and the bright white stars with luminosities 50 or 
more times that of the sun. Within this sequence the sun agrees well 
with other stars of the same temperature: its luminosity seems to 
be slightly less than that of the average star of its type but well 
within the range that similar stars exhibit. In mass, spectral type, 
and many other characteristics the sun can be almost precisely 
matched by many of the stars which have already been observed. 
As a typical dwarf star, therefore, we can reason that the sun in 
its future history will pass through the evolutionary changes of 
similar stars in the main sequence to which it belongs. What these 
changes may be is very far from certain, for our theories of stellar 
evolution are still in a most indefinite state. The probabilities are 
that in the course of sufficient time the sun will radiate away much 
of its mass, will decrease in temperature and luminosity, and arrive 
at a condition similar to that of the faint red dwarf stars which are 
our most frequent neighbors. The time required for such processes, 
however, is almost incredibly long. It would take 40,000,000 million 
years for the sun to lose half its present mass through radiation, 
and it is quite possible that during a considerable part of that period 
the output of light and heat would not differ seriously from that at 
present. Every aspect of the study of the relationship of the sun 
to the stars as a physical body leads to a time-scale of enormous 
length, and it is clear that, whatever the future history of the earth, 
its destiny will be defined by limitations quite other than those set 
by a cold and inert sun. 


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Smithsonian Report, 1935.—Adams PLATE 1 


Mount Wilson Observatory. 


1. AN EXTRA GALACTIC NEBULA. M 


Mount Wilson Observatory. 


2. AN EXTERNAL GALAXY, THE ANDROMEDA NEBULA. 


The reproduction is a mosaic from three photographs. 


Smithsonian Report. 1935.—Adams 


Barnard. 


1. STAR CLOUDS AND DARK OBSCURING MATERIAL IN THE MILKY 


lount Wilson Observatory. 


2. BRIGHT AND DARK NEBULOSITIES IN THE CONSTELLA 
SAGITTARIUS, M 8. 


Smithsonian Report, 1935.—Adams PEATE Ss 


THE SUN'S NEIGHBORS 
STARS KNOWN TO BE WITHIN 65 LIGHT-YEARS OF THE SUN 
ONE LIGHT-YEAR = ©» 10" MILES DATA COMPLETE TO 19034 


reas 


=Centaort 


* 
Preyer 
Wolf 359% 


x 
x 
SParsecs 


é MLighe ears, 


Absotute. Magnitude Luminosity (Sun =I) Spectral Type Effectwe Temperature 
= 2.5 e & 1,200" to 
o=1 bets & and i/ts ‘ 
e etween VAS . & 3 
© between 1/13 and 1/1320 * ; 3.900" and less 
¥ < 1/1320 i Fi 


MA determination of the distance 
has been made at Mount Wilson 


@ Real Dowble or Muitiple Star 


| 20 Parsecs 


@5 Light -Vears 


Mount Wilson Observatory. 


STARS KNOWN TO BE WITHIN 65 LIGHT-YEARS OF THE SUN. 


PLATE 4 


Adams 


Smithsonian Report, 1935. 


LU ATIVE 


ines, 
eeocmepemnoesis 


a meet one & 


— = 


il 


&. a Orionis 


To Tauri 


5.5un ©.aBootis 


eacyagni S3.aCanis Min. 4a Persei 


1.4Canis Mai. 


Mount Wilson Observatory. 


STELLAR SPECTRA ON A LARGE SCALE. 


Smithsonian Report, 1935.—Adams PLATE 5 


Lick Observatory. 


1. ‘“‘FLASH’’ SPECTRUM OF THE SUN’S EDGE TAKEN AT A TOTAL ECLIPSE. 


ol ee eT 


(eT ee 
We 


a Yee 


' 


Mount Wilson Observatory. 


2. SPECTRA OF TWO STARS OF GREATLY DIFFERENT LUMINOSITY 


The principal lines which vary with luminosity are indicated by arrows. 


THE ATMOSPHERES OF THE PLANETS’ 


By Henry Norris RUSSELL 
Research Professor of Astronomy, Princeton University 


Two ways are open to the retiring president of this association 
when he makes what small return he can for the honor of his 
election. By a sound and time-honored custom, it is his duty and 
privilege to speak of some topic, within his own technical field, 
but of general interest. He may therefore either report on his own 
researches—if he is fortunate enough to have recent or unpublished 
results good enough to measure up to the standard of a presidential 
address—or he may survey some section of his part of the field of 
science in which important gains have lately been made, though his 
own contribution to this advance may be small. Only the latter 
course is open to the present speaker, and so, this evening, we may 
devote a little time to the atmospheres of the planets. 

As soon as telescopes became good enough to give a tolerable view 
of details on the planets, evidence began to accumulate that some 
of them, at least, possessed atmospheres. Doubtless the first to be 
noticed were the changes in the markings on Jupiter, which differ 
radically from one year to the next, and often appear suddenly 
and last but a few weeks, though thousands of miles in diameter. 
Only clouds forming and dissolving in a Jovian atmosphere can 
account for such rapid and capricious changes. 

Evidence for an atmosphere on Mars is afforded by the polar 
caps. The steady shrinkage of these during the summer, accom- 
panied by the growth of the opposite cap during the long, cold polar 
night, is explicable only by the melting or evaporation of deposits 
of some snowlike substance, which is carried as invisible vapor to the 
opposite pole, and there deposited. A permanent, noncondensible 
atmosphere is required for the transport of this vapor. 

Venus, when she is considerably nearer to the earth than to the 
sun, shows a crescent phase, like that of the moon, and for the 
same reason. As she comes more nearly into line between us and 

1 Address of the retiring president of the American Association for the Advancement of 


Science, Pittsburgh, Dec. 31, 1934. Reprinted by permission, with some additions, from 
Science, vol. 81, no. 2088, Jan. 4, 1935. 


153 


154 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the sun, her crescent narrows, and the horns begin to project beyond 
their normal position, so that she has been seen as three quarters 
of a circle, and even as a thin bright ring, with a dark interior. This 
remarkable phenomenon can be seen only when Venus is within about 
a degree of the sun, and no chance to observe it again will occur till 
near the end of the present century; but it has been recorded in the 
past by several competent observers. Such an extension of the 
horns—and, above all, the ring-phase—can be explained only as 
effects of twilight, the illuminated atmosphere of the planet being 
visible across the narrow dark strip of its surface on the side farther 
from the sun. 

For the three brightest planets, then, the presence of an atmos- 
phere is proved by observation, in three quite different, but equally 
conclusive ways, all of which were well known to astronomers before 
the end of the eighteenth century. 

Later observations have added evidence of the same type—a few 
white spots on Saturn, appearing at irregular intervals of some 
decades, which change shape, shift, and disappear as clouds would 
do—occasional though fugitive clouds, and a measurable effect of 
twilight, upon Mars; and elusive markings on Venus, which can be 
photographed only with ultraviolet light, and change greatly 
between one evening’s observations and the next. The extent of 
atmosphere can also be roughly estimated from the results of direct 
telescopic observation. The surface details of Jupiter (and of 
Saturn when any appear) may be seen, and photographed, close up 
to the limb, despite the very oblique angle of view. It is therefore 
evident that there can be no such extensive gaseous mantle as veils 
the earth. At least, there is none above the visible cloud surfaces 
of these great planets—how much there may be below is another 
matter. The rarefied layer which exists, however, suffices to cut 
down the apparent brightness of the edge of the planets’ disks. The 
effect of contrast against a dark sky conceals this in an ordinary tele- 
scopic view; but the first look at one of these planets in strong twi- 
light shows that it is actually of surprising magnitude. 

There is more “limb-light” on Mars, and there may be more 
atmosphere above the visible surface—the real surface, this time; 
but an atmosphere as thick as the earth’s, even if free from clouds 
or haze, would produce a much greater effect. 

For Venus the layer which produces the elongation of the crescent 
is remarkably thin, rising only about 4,000 feet above the visible 
surface. But this represents only the part of her atmosphere which 
is hazy enough to be seen through the glare of our own sky close to 
the sun. The top of the atmosphere must be much higher; and the 
bottom, if the visible surface is composed of clouds, much lower, so 
that its whole amount may be great. 


ATMOSPHERES OF THE PLANETS—RUSSELL 155 


The celestial body which we can observe in far the greatest detail 
tells quite another story. The moon, viewed telescopically, shows no 
more atmosphere—whether in the artist’s or the physicist’s sense— 
than a bare plaster cast illuminated by a powerful searchlight. 
Far more delicate tests are possible here than in other instances, and 
neither refraction nor twilight is present to the minutest degree. Our 
satellite is naked rock in vacuo. Mercury, too, shows little evidence 
of atmosphere, though Antoniadi reports occasional obscuration of 
dark markings, which he attributes to dust-haze. 

The existence of atmospheres on the majority of the planets, 
though not on all, is thus established by direct telescopic observation. 
To determine their composition we must, as usual, have recourse 
to the spectroscope; but we meet with two difficulties. 

In the first place, many possible atmospheric constituents show no 
selective absorption whatever in the region accessible to our study. 
Hydrogen, nitrogen, helium, neon, and argon belong in this group, 
and are hopelessly beyond the reach of our investigation. Sec- 
ondly, the other gases of the earth’s atmosphere absorb too much for 
our advantage. The worst by far is ozone. Though present in but 
small amounts, and mainly in the higher layers, it cuts off the whole 
spectrum short of 2900 angstroms, and deprives us of any hope of 
studying the most interesting parts of all celestial spectra. 

Were we working in the infrared, water vapor would be almost as 
troublesome. There are long stretches of the solar spectrum, within 
the range of present-day plates, in which we can find out little or 
nothing about the sun’s own spectrum. The great wide lines of the 
water-vapor bands, often overlapping, hide almost everything else. 
The band near 11500 A is quite hopeless; that at 18000 would be 
worse, if our photographs got so far; one near 9600 is still very bad; 
while in those near 8200 and 7200 the solar lines can be picked out, 
with care, among their stronger telluric neighbors. 

Oxygen reveals itself by a strong band, with very regularly spaced 
lines, at A7594 (Fraunhofer’s A), the weaker B band near 6867, 
and the much fainter a band at 6277. ‘The terrestrial origin of all 
these lines is conclusively settled by two tests: first, their changes 
with the altitude of the sun (varying the air-path) and, for the 
water-vapor lines, with weather conditions; second, the absence of 
the Doppler shift, due to the sun’s rotation, when light from the 
east and west limbs is compared. The absence of even faint com- 
ponents of solar origin is explained by the high temperature, which 
dissociates such molecules completely. 

The intensities of these bands are in inverse order of the abundance 
of the molecules which produce them—an apparent anomaly, ex- 
plained by the circumstances of their origin. The ozone band is 
part of the main system of the O; molecule, and, like all such bands, 


156 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


is very intensely absorbed, a layer of the gas, at its worst, being as 
opaque as one of metal of equal mass per square centimeter. For 
water vapor the main absorption bands lie far in the infrared, and 
are very strong—those with which we are now concerned involve 
high harmonics of the fundamental vibrations. The coefficient of 
absorption, and the intensity of the bands, diminishes rapidly with 
increasing order of the harmonics and diminishing wave length. 

The oxygen bands are produced by a “ forbidden” transition 
within the molecule, for which the probability of absorption is ex- 
ceedingly small. This is why the whole mass of oxygen above our 
heads (equivalent to a layer 2 kilometers thick at standard tempera- 
ture and pressure) produces absorption lines no stronger than the 
sodium vapor in a Bunsen flame an inch thick, which contains but 
a minute percentage of the vapor of the metal. The principal bands 
of oxygen, in the ultraviolet beyond 1800, are so strong that light 
of shorter wave length cannot be observed at all in air. The experi- 
menter must put his whole spectroscope in a gastight case, and pump 
it out to an almost perfect vacuum. 

In the visible spectrum, the portions cut out by oxygen or water 
vapor are very small in extent; but they come exactly in the wrong 
place—in other words, they hide, line for line, absorption by these 
same gases which might be produced in the atmosphere of a planet. 

If the planet’s atmosphere was decidedly richer in either constitu- 
ent than the earth’s, we might detect the fact, for the lines in the 
planet’s spectrum would be stronger than in that of the moon. Com- 
parisons of this sort, however, must be made with great precautions. 
The moon and planet must be at the same altitude when the observa- 
tions are made (to get equal air-paths). It is not safe, either, to 
observe the planet early in the evening and wait till the moon rises 
to the same height, for a change in temperature may have caused 
the precipitation of water out of the air, though the oxygen, of 
course, remains the same. With sufficient patience, a time may be 
found when planet and moon can be seen together, at equal altitudes, 
and observed almost simultaneously, with the same instrument. 

Early observations of this sort were supposed to show the presence 
of oxygen and water vapor on Venus and Mars; but the careful and 
accurate work of Campbell, in 1894, led him to the conclusion that 
there was no perceptible difference in the strength of the bands in 
the two cases, and hence that the amounts of these important 
substances, above the visible surfaces of either planet, did not exceed 
one-fourth of those above an equal area of the Earth’s. 

A more delicate and very ingenious test was invented, independ- 
dently, by two distinguished American observers, Lowell and Camp- 
bell. When Mars (or Venus) is approaching us, or receding, most 
rapidly, the lines in its spectrum are displaced by the Doppler shift, 


ATMOSPHERES OF THE PLANETS—RUSSELL 157 


while lines produced in the Earth’s atmosphere are of course un- 
affected. Were this shift great enough the planetary and telluric 
lines would appear double, and the former, even though faint, could 
readily be detected. The greatest available shift is not enough to 
resolve the lines completely ; but measures of the blended lines suffice 
to show whether any important planetary contribution is present. 
A still more delicate test is afforded by microphotometer measures 
of the contours of the lines, which would reveal even a slight asym- 
metry. These observations are very exacting, requiring high dis- 
persion and a great deal of light, so that the best evidence is that 
from the great coudé spectrograph of the 100-inch telescope at 
Mount Wilson. St. John and Nicholson found, in 1922, that there 
was no perceptible trace of planetary lines in Venus, and Adams and 
Dunham, in 1934, have come to the same conclusion in the case of 
Mars. An amount of oxygen, on either planet, equal to a thousandth 
part of that above an equal area on earth, could certainly have been 
detected. For water vapor, the tests have so far been less delicate, 
and are not fully decisive—though the quantity present on either 
planet must be small. More delicate tests, with stronger lines, may 
soon be made on new red-sensitive plates. 

There can be no reasonable doubt, on quite different evidence, that 
some small amount of water vapor is actually present in Mars’ 
atmosphere. Radiometric observations of the planet’s heat show 
definitely that the surface rises to temperatures above 0° Centigrade 
at noon every day in the Martian tropics, and at the pole at mid- 
summer, though falling far below freezing at night. The polar caps 
must therefore really be composed of snow, and evaporate into water 
vapor, even if the pressure is so low that the ice turns directly into 
vapor without melting. The only plausible alternative suggestion— 
carbon dioxide—would volatilize at much lower temperatures than 
the actual polar caps do. But, judging from the amount of solar 
heat available to evaporate them, the polar caps must be very thin, 
probably only a few inches thick. The vapor resulting from the 
gradual sublimation would never attain any considerable density, 
and might easily fail of detection by the tests which have so far been 
Peaeinle, 

No such independent ee is available for Venus, but fate 
and Dunham, in 1982, discovered, in the infrared region of her spec- 
trum, three "ee ale defined bands with heads at A7820, 7883, and 
\8689, and evidently of atmospheric origin. They had not then been 
observed elsewhere; but an immediate suggestion regarding their 
origin was obtained from the theory of band-spectra—by that time 
well developed. The spacing of the individual lines in a band arises 
from the rotation of the molecule and depends upon its moment of 
inertia. For the new planetary band, it showed that, the otherwise 


158 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


unknown molecule involved must have a moment of inertia of 70.5 X 
10-*° c. g. s. units. This agreed almost exactly with that of the mole- 
cule of carbon dioxide—already known from laboratory observations 
in the infrared. All doubt regarding this identification was removed 
when Dunhan, passing light through 40 meters of CO, at a pressure 
of 10 atmospheres, found that the strongest of the bands found in 
Venus was faintly absorbed. Recently Adel and Slipher, using a 
path of 45 meters through gas at 47 atmospheres’ pressure, have 
found the bands considerably weaker than they appear in the planet. 
They conclude that the amount of carbon dioxide above the visible 
surface of Venus is at least 2 mile-atmospheres—that is equivalent 
to a layer 2 miles thick at standard atmospheric pressure and tem- 
perature. The whole amount above the planet’s solid crust may be 
much greater. TFor comparison it may be noted that the whole at- 
mosphere of the earth amounts to 5 mile-atmospheres, and the oxy- 
gen in it to one and a quarter. 

These bands do not show in the solar spectrum, even when the 
sun is setting. But there is very little CO, in the earth’s atmosphere, 
and the whole amount in the path, even at sunset, amounts to only 
30 feet under standard conditions. 

The weak absorption in these bands, like that in the visible bands 
of water vapor, arises because they involve high harmonics of the 
fundamental vibration-frequencies—in this case the fifth. 

So far we have had to do with bands of familar and readily 
identified molecules; but the major planets have been much more 
puzzling. 

Jupiter shows a conspicuous band in the orange, which was dis- 
covered visually by Huggins in the earliest days of spectroscopy, and 
fainter ones in the green. These appear more strongly in Saturn, 
but only in the spectrum of the ball of the planet, and not at all in 
that of the ring—which might be anticipated, since the ring consists 
of a multitude of tiny isolated satellites, and should be quite devoid 
of atmosphere. Uranus, though its light is faint, shows the same 
bands, much more strongly, and many others in addition. One of 
these, which closely coincides with the F line of hydrogen (\ 4861) 
led Huggins to conclude that the planet’s atmosphere was rich in 
hydrogen. 

This interpretation, though quite permissible at the time, was 
erroneous, for the line is absorbed only by dissociated atoms of hy- 
drogen, which will not be present except at very high temperatures. 

The bands cut out so much of the red and orange light that the 
whole disk of Uranus appears decidedly green—an unusual color, 
noticed from the time of the planet’s discovery. 

In Neptune’s spectrum, the bands are of enormous strength, cut- 
ting out the red almost entirely and making the planet look still 


ATMOSPHERES OF THE PLANETS—RUSSELL 159 


greener. They are hard to observe visually in so faint an object, and 
the full realization of their intensity came only with the admirable 
photograph of V. M. Slipher, in 1907. In later years, and with 
modern plates, Slipher has extended his observations far into the 
red, finding bands of ever-increasing strength—up to A 10000 for 
Jupiter, where there is light enough to follow the spectrum farthest. 

For more than 60 years after their first discovery, and 25 after 
Slipher’s spectrograms, these bands presented one of the principal 
unsolved puzzles of spectroscopy—for no one had duplicated them in 
the laboratory. To be sure, one group, near A 7200, agrees fairly well 
with a band of water vapor—but the still stronger water-bands 
deeper in the red are absent, so that this must be a chance coincidence. 

When the radiometric measures of Coblentz and Lampland, and of 
Nicholson and Pettit, showed that the temperature of the visible sur- 
faces of Jupiter and Saturn must be well below —100° Centigrade— 
while Uranus and Neptune are doubtless colder—the range of pos- 
sibilities was very much narrowed. But it was not until 1932 that a 
young and brilliant German physicist, Rupert Wildt, realized the 
solution of the problem. 

Other gases, like water vapor and carbon dioxide, have strong 
fundamental absorptions in the infrared, and fainter harmonics in 
the more accessible part of the spectrum, which demand a long 
absorbing path in the laboratory to bring them out. Utilizing ob- 
servations of this sort, Wildt showed that certain bands in the 
spectrum of Jupiter near » 6470 and A 7920 agreed with those of 
ammonia, and others, at » 6190, » 7260, and A 8860, with bands of 
methane. The original comparison was not quite conclusive, for 
with the moderate dispersion then employed the planetary bands 
had not been adequately resolved into their component lines. This 
was soon accomplished, by Dunham, who found so complete a coinci- 
dence of the accurately measured individual lines that both identi- 
fications were put beyond all question. For ammonia more than 60 
lines were found to agree, and for methane 18 lines in part of one 
band. Some expected band lines were naturally blended with solar 
lines, but not one of importance failed to appear. 

From these comparisons Dunham estimates that the quantity of 
ammonia gas above the visible surface of Jupiter is equivalent to a 
layer 10 meters thick under standard conditions. In Saturn it is 
less. 

The climax of the tale came this year, when Adel and Slipher an- 
nounced that practically all the bands had been identified, and were 
due to methane. The 45-meter path and the 40-atmosphere pressure 
got enough of the gas into the way of the light to produce bands 
intermediate in intensity between those in Jupiter and in Saturn. 


160 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


At this high pressure the lines flowed together, and produced dif- 
fuse bands; but the agreement of these with the planetary bands was 
so complete as to be decisive. 

A further, and wholly conclusive, test could be added. The funda- 
mental frequencies of vibration of the methane molecule were al- 
ready known, from observations in the infrared. For the higher 
harmonics of these vibrations the frequencies are not exact multi- 
ples of the lowest, but nevertheless bear a simple numerical relation 
to them (as is well known in the case of other gases). Applying 
this test, the strongest bands (including Huggins’ band in the orange, 
and the one coincident with the blue hydrogen line) were found to be 
harmonics, from the third to the eighth, of one of the fundamental 
frequencies, while another slower vibration was represented by all 
its harmonics from the eighth to the sixteenth. The remaining 
bands were accounted for by combinations of these harmenics with 
other known frequencies, all of types consistent with the well-estab- 
lished rules which govern band spectra. Forty-one bands in all 
have been identified. Many of these appear only in Uranus and 
Neptune, and have not yet been produced in the laboratory, but the 
harmonic relations just mentioned make their identification certain. 
The higher gaseous hydrocarbons, ethane, ethylene, and acetylene, 
all have bands in places clear of disturbance by the methane; and all 
were looked for in vain. All the planetary bands of any importance 
are accounted for by methane alone—it is a clean sweep. 

From. the published data, it appears that the amount of methane 
above the visible surface of Jupiter is of the order of one mile-at- 
mosphere. There must be much more on Uranus, and especially on 
Neptune—25-mile atmospheres, according to Slipher and Adel. 

There is still plenty of work to do upon these bands, but mainly 
for the theoretical investigator. Adel calculates that the band at 
dX 5430, when fully resolved, should consist of 18 different overlap- 
ping systems of many lines each. Fortunately, the astrophysicist 
need not wait to draw his conclusions till this has been completely 
analyzed. 

The results of observation can be summarized in a sentence. Large 
planets have atmospheres containing hydrogen compounds; middle- 
sized planets, atmospheres containing oxygen compounds; and small 
planets no atmospheres at all. The reason, in the last case, was 
found by Johnstone Stoney, in 1897. It is simply that small bodies 
have not sufficient gravitative power to keep their atmospheres from 
diffusing away into the vacuum of interplanetary space. At the sur- 
face of any planet, there is a certain velocity of escape, depending 
only on its mass and radius. A body projected from its surface, 
in whatever direction, with this or any higher velocity, will fly off 
in a parabolic or hyperbolic orbit and never return—unless, indeed, 


ATMOSPHERES OF THE PLANETS—RUSSELL 161 


it meets with some obstacle or resistance on its outward way. For 
the moon this velocity is 2.4 kilometers per second; for the earth, 
11.2; for Jupiter, 60. 

Now the molecules of any gas are continually flying about in all 
directions, with average speeds which depend upon their weights. 
At 0° Centigrade the average speed for a hydrogen molecule is 1.84 
km/sec.; for oxygen, 0.46; for carbon dioxide, 0.39. If an at- 
mosphere of hydrogen could be put upon the moon, every molecule 
that was moving but a little faster than the average would fly off at 
once into space, unless it was thrown back by collision with another, 
and the atmosphere would diffuse away in a very short time. With 
an escape velocity three times the average speed, enough fast-moving 
molecules would get away to reduce the atmosphere to half its orig- 
inal amount in a few weeks (according to Jeans). The rate of loss 
falls off very rapidly beyond this, so that, with an average velocity 
one fifth that of escape, the atmosphere would remain for hundreds 
of millions of years. 

The moon’s surface reaches a temperature exceeding 100° C. dur- 
ing every rotation, and it follows that neither air nor water vapor 
could permanently remain above its surface. If at any time in its 
past history, it has been really hot, like molten lava, it could have 
retained no trace of atmosphere. For Mercury, the escape velocity 
is half as great again as for the moon; but the planet, being so near 
the sun, is much hotter, and it can hold only the heaviest gases. 
Mars, with an escape velocity of 5 km/sec., could not hold hydrogen 
but should retain water vapor—as it appears to have done—and all 
heavier gases. Venus and the earth, at their present temperatures, 
should retain even hydrogen, and the major planets would do so 
even if incandescent. 

This reasoning explains the cases of Mercury and the moon, and 
leads to the important conclusion that all smaller bodies, such as the 
asteroids and satellites, must be wholly devoid of atmosphere—ex- 
cept perhaps bodies like Neptune’s satellite, which is relatively mas- 
sive, and must be very cold. We cannot be sure about Pluto, for we 
know neither its size nor its mass; but it is probable that, at most, 
it may have a thin atmosphere, like Mars. 

The same principle was invoked, shortly after its discovery, to ex- 
plain the great difference in mean density between the major and the 
terrestrial planets. The moon, Mercury, Mars, Venus, and the earth 
all have densities between 3.3 and 5.5 times that of water. The rest 
are almost certainly what we know the earth to be, spheroids of 
rock, with cores of metallic iron of varying sizes. For the major 
planets, the densities range from 1.6 for Neptune to 0.7 for Saturn. 
Moulton suggested, about 1900, that they contained great quantities 


162 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


of light substances, which the smaller terrestrial planets had not been 
able to keep from diffusing away into space. This has been fully 
confirmed by later studies. 

From the ellipticity of a planet and the changes in its satellites’ 
orbits caused by the attraction of its equatorial bulge, information 
may be obtained regarding the degree to which the density increases 
toward its center. Applying this to Jupiter and Saturn, Jeffreys 
concludes that they contain cores of rock and metal, like the inner 
planets, surrounded by vast shells of ice—frozen oceans thousands of 
miles deep—and above this, again, atmospheres of great extent. 
Throughout most of the atmospheres, the pressure must be so great 
that the gas is reduced to a density as great as it would have if lique- 
fied, or even solidified, by cooling. Indeed, Wildt believes that the 
enormous pressure would actually solidify even the “ permanent ” 
gases. 

Now this outer layer is of low density—less than 0.78 for Jupiter 
and 0.41 for Saturn—according to Wildt’s calculations. This ex- 
cludes all but a few possible constituents. Frozen oxygen has a 
density of 1.45, nitrogen 1.02, ammonia 0.82. Only hydrocarbons 
(methane 0.42, ethane 0.55), helium (0.19), and hydrogen (0.08) 
come within the limits even for Jupiter. We can therefore conclude, 
from considerations of density alone, that the outer parts of Jupiter 
probably, and of Saturn certainly, contain great quantities of free 
hydrogen or helium. Uranus and Neptune are similar to Jupiter. 

It is generally believed that the planets have been produced, in 
some way or other, from matter ejected or removed from the sun. 
No really satisfactory theory of the process of formation has yet 
been devised; but no other hypothesis has yet done better, and the 
isolation of the sun and planets in space makes a common origin 
highly probable. 

Now we know the composition of the sun—at least of its outer 
layers—much better than we do that of the planets. Quantitative 
spectroscopic analysis, though still beset with difficulties, has ad- 
vanced far enough to show that most of the sun’s outer layers is 
composed of hydrogen; next come helium, oxygen, and carbon, fol- 
lowed by nitrogen, then silicon and the metals. A mass of matter 
removed from the sun and allowed to cool without serious loss would 
therefore closely resemble the major planets. If small enough to 
lose all its atmosphere, it would be like the moon or the asteroids— 
though there are difficulties in seeing how such small masses could 
have escaped diffusing away altogether before the more refractory 
constituents solidified. 

The history of a body of intermediate mass is more interesting. 
Hydrogen and helium would be lost while it was still very hot. So 


ATMOSPHERES OF THE PLANETS—RUSSELL 163 


would most of the other light gases such as neon and nitrogen (which 
at the temperature even of the sun’s surface is dissociated into 
atoms). Free oxygen, too, would escape, but a good deal might be 
retained in combination with silicon and the metals. As the gaseous 
mass cooled, by expansion and radiation, drops of molten metal and 
lava would form within it, as Jeffreys suggests, and fall toward the 
center, building up a molten core. After the first turbulence was 
over, there would remain a molten planet surrounded by an atmos- 
phere containing heavy inert gases, such as argon, perhaps some car- 
bon dioxide, and as much of the nitrogen and neon as had failed to 
escape. Menzel and I, a few years ago, noticed that neon, while ap- 
parently fully as abundant in the stars and nebulae as argon, is but 
Yoo as abundant in the earth’s atmosphere; while nitrogen, which 
is cosmically an abundant element, showing strong spectral lines, 
forms but a very small portion of the earth’s mass. It appears, 
therefore, that a mass of the earth’s magnitude must have lost almost, 
though not quite, the whole of its primitive atmosphere. 

Still following Jeffreys, it appears that, as the molten earth 
cooled, the 2,000-mile deep sea of lava solidified first at the bottom 
(where the melting point was greatly raised by pressure) and so 
gradually to the surface. During this process great quantities of 
gases, mainly water vapor, must have been evolved from the solidi- 
fying magma, and escaped to the surface, forming a new atmosphere 
which now would not escape, since the surface was cooler. With 
solidification would come rapid superficial cooling, and an ocean 
would bathe the rocky crust, leaving an atmosphere of moderate 
extent. Carbon dioxide—evolved from the magma, and perhaps 
partly primitive—would be a major constituent, along with nitrogen, 
argon, neon, and »ther minor left-overs. The presence cf free 
oxygen seems very unlikely, for practically all volcanic rocks and 
gases are unsaturated with respect to this element—the former 
containing much ferrous iron and the latter being often actually 
combustible when they meet the air. 

The present rich supply of oxygen appears to be a byproduct of 
terrestial life. (This suggestion is more than a century old.) The 
earth, indeed, may be regarded as an intensively vegetated planet, 
from whose atmosphere the greedy plants extract the remaining 
residue of carbon dioxide so rapidly that if it were not returned to 
the air by combustion, respiration, and decay, the whole supply 
would be exhausted in a decade or so. Oxygen removed from the 
atmosphere by these processes is speedily returned by plants; but 
there is another process of slow depletion which is irreversible. 
During rock-weathering, about half the ferrous iron of the rocks is 
oxidized to the ferric state. Goldschmidt (from whose admirable 

36923—36——12 


164 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


geochemical papers the present discussion is borrowed) concludes 
that the amount of “ fossil” oxygen thus buried in the sedimentary 
rocks is at least as great as that now present in the atmosphere and 
may be twice as great. An amount of carbonaceous or other organ- 
ically reduced material equivalent to both the free and the fossil 
oxygen must also be in the sediments—which is not unreasonable. 
Given time enough, this inexorable process of rock-decay might 
exhaust the remaining oxygen of our atmosphere and put an end 
to all that breathes. But this danger is indefinitely remote—a billion 
years away anyhow, since life has lasted that long and only half 
the oxygen has been used up; and probably much longer, for 
volcanic gases are still carrying “juvenile” carbon dioxide into 
the air that has never been there before. 

It is of no small interest, however, to look at Mars and see there 
what looks very like the end of this process. The reddish color of 
the planet—unique among the heavenly bodies—is just what might 
be expected, and indeed is almost inevitable in a surface stained with 
ferric compounds. (The unoxidized rocks of the moon are gray or, 
at most, brownish.) Wildt suggests that, in the thin atmosphere of 
Mars, the ozonized layer produced by the action of ultraviolet hght 
at the top of the atmosphere should be near the surface—not high up, 
as it is here—and that oxidation processes at the planet’s surface 
might thus be accelerated. 

It would be premature, however, to conclude that Mars must be 
a lifeless planet. The depletion of oxygen would be very slow, and 
plant life would probably adjust itself, as it has done on the earth 
in response to far more rapid climatic changes. Whether animal life, 
if ever present, could have survived is speculation. A race of no 
more intelligence and engineering skill than our own could pre- 
sumably meet the situation and survive in diminished numbers 
breathing electrolytic oxygen, provided that it paid any attention 
to changes so slow as to be imperceptible in a thousand generations. 

While Mars resembles the final stage of our suggested process, 
Venus seems to be at the beginning, and much like what a hfeless 
earth would be. We do not know how life began here, but conditions 
may well have been much less favorable on Venus. Wildt concludes 
that the powerful “ blanketing ” effect of the atmospheric CO:, com- 
bined with the stronger solar radiation, may raise the temperature 
at the planet’s actual surface to 100° C. or higher, in which case the 
failure of life to develop is not surprising. The real puzzle is the 
apparent absence of water on Venus’ surface. She is almost a twin 
of the earth in size, mass, density, and so on, and one might have 
expected an ocean of comparable volume. Wildt suggests that all 


ATMOSPHERES OF THE PLANETS—RUSSELL 165 


the water has gone into hydrated minerals; but how this could hap- 
pen, unless there was much less there originally than on earth is 
hard to understand. 

For the major planets we have to consider the course of events in 
a cooling mass containing an excess of the lighter elements and 
especially of hydrogen. The condensation of the refractory con- 
stituents should take place much as for a smaller body. The princi- 
pal constituents of the rocks, however—potassium, sodium, magne- 
sium, aluminium, calcium, and silicon—are not reduced from their 
oxides by hydrogen, and would form rocks not unlike those of the 
earth. But at high temperatures the oxides of iron are reduced by 
hydrogen. My colleague, Prof. H. S. Taylor, to whom I am greatly 
indebted for counsel on these problems of physical chemistry, re- 
marks that the drops of molten lava falling through a hydrogen 
atmosphere reproduce pretty closely the conditions of a blast fur- 
nace. We may conclude then that most of the iron would go into 
the core and less into the rocky shell. 

After the shell solidifies, the remainder of the mass will remain 
fluid over a wide range of temperature. Its principal elementary 
constituents will be hydrogen, helium, oxygen, carbon, and nitrogen, 
with smaller quantities of the other inert gases, sulphur and the 
halogens. 

The principal reactions which occur in such a gaseous medium at 
different temperatures and pressures have been carefully studied, for, 
in addition to their theoretical interest, they are of great practical 
importance in chemical industry. 

When oxygen, carbon, and hydrogen are considered the main 
reaction is 

CO,+ 4H. CH,+2H,0 


The formation of methane is accompanied by diminution of 
volume; hence it will be favored by high pressure. High tempera- 
ture works the other way; from the free-energy data it appears that, 
at 1,000° C. and atmospheric pressure, the equilibrium inclines to 
the side of carbon dioxide, even in the presence of a large excess of 
hydrogen. Below 300° C. practically all the carbon should go into 
methane; at about 600° the amounts of the two gases should be 
comparable. 

With hydrogen and higher hydrocarbons the tendency of the 
reaction is always toward methane at low temperatures. With sat- 
urated hydrocarbons, this involves no change of volume and should 
not be affected by pressure. Formation of methane from unsatu- 
rated hydrocarbons should be favored by high pressure. The exclu- 
sive presence of methane in the planets’ atmospheres might thus have 
been predicted. 


166 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The formation of ammonia from its elements, in accordance with 
the equation 
N.+38H.s 2NH; 


liberates less energy. With excess of hydrogen, and at atmospheric 
pressure, the amounts of nitrogen and ammonia should be equal 
between 200° and 800° C.; ammonia should predominate at lower 
temperatures and at higher pressures. 

The oxides of nitrogen are endothermic and so would tend to 
dissociate, rather than to form. 

We may now form a definite picture of the successive reactions 
which will occur in the atmosphere of a cooling major planet. 
At temperatures of about 1,000° the predominant hydrogen will 
be mixed with steam, free nitrogen, and carbon dioxide; the carbon 
monoxide which occurs in stellar atmospheres having long ago been 
completely oxidized. With falling temperature the carbon dioxide 
will be converted into methane before the water reaches its critical 
temperature and begins to condense. After most of it has been 
precipitated, the nitrogen will go over into ammonia. These re- 
actions, however, will run their course at these relatively low tem- 
peratures only with appropriate activation. For the formation of 
methane an excellent catalyst is available in the partially reduced 
oxides of iron which should be present on the rocky surface exposed 
to hot hydrogen. These would be equally good for the ammonia, 
but they may be at the bottom of the sea by the time the proper 
temperature is reached. An adequate activation, however, would 
be furnished by electrical discharges, and if terrestrial thunder- 
storms are any guide, these should be abundant so long as vapors 
arising from the hot ocean are being condensed. When the tem- 
perature has fallen to that which the earth at present enjoys, there 
will be an extensive atmosphere of hydrogen, mixed with the simple 
hydrides—methane, ammonia, and water vapor—along with any inert 
gases which may all along have been present, but with little or no 
free nitrogen or carbon dioxide. Below this will be an ocean, per- 
haps very deep, strongly alkaline with ammonia, and incidentally 
containing in solution any compounds of sulphur and the halogens 
which may originally have been present. The conditions in such 
an alkaline ocean—its action on the rocky bed, the compounds which 
it will hold in solution, and the deposits which it may form—would 
be of great interest, but are outside our present scope. 

With further cooling the water will freeze, but at a temperature 
below 0° C. depending on the percentage of ammonia. With one 
part of the latter to two of water the freezing point would drop to 
—100° C., but it is doubtful if there is enough ammonia for this. 
The major planets—even Jupiter—are still colder, and the water 


ATMOSPHERES OF THE PLANETS—-RUSSELL 167 


must be thoroughly frozen out of their atmospheres, leaving only 
ammonia and methane. The ammonia, indeed, must be at the point 
of precipitation. Dunham has obtained in this way a minimum 
temperature for Jupiter’s visible surface. The 10 meters of am- 
monia above the surface, under the planet’s surface gravity, should 
exert a pressure of 1.5 mm (on the familiar laboratory scale). The 
vapor tension of the solid (below the triple point) has this value 
at —107° C. At a lower temperature the observed quantity of 
ammonia could not exist in the atmosphere—it would partially 
condense itself by its own weight. 

If the atmosphere consists mainly of hydrogen, this limit may 
be lower, for the mean molecular weight is diminished, and the 
partial pressure of the ammonia in the same proportion. With a 
large excess of hydrogen the pressure may be reduced to one-sixth 
of the previous value and the limiting temperature to —120° C. 

The direct radiometric observations of Jupiter indicate a temper- 
ature of about —135°; but this determination is complicated by large 
and rather uncertain corrections for the absorption of infrared radia- 
tion in the atmospheres of the earth and the planet, so that the 
agreement is about as geod as could be expected. It is, therefore, 
very probable that the clouds which form Jupiter’s surface are com- 
posed of minute crystals of frozen ammonia. A perfectly absorbing 
and radiating planet, at Jupiter’s distance and heated exclusively by 
the sun, would have a mean temperature of —151° C. The excess in 
the actual temperature may be attributed partly to the fact that we 
observe the sunlit (and warmer) side; partly to the “ greenhouse” 
effect of the atmosphere, which lets in the short-wave radiation from 
the sun much more easily than it lets the long waves emitted from 
the planet’s surface out again; and partly, perhaps, to some residual 
internal heat in the planet. The existence of the latter is made 
probable by the rapid changes in the cloud forms, which often 
suggest the ascent of new material from below. The variety of 
colors upon the surface, which range from clear white through pinks 
and browns almost to black, remains unexplained. 

On Saturn, where the ammonia bands are fainter than on Jupiter 
and the surface gravity less than half as great, the limiting tempera- 
ture may be 10° or 15° lower. The radiometric observations indicate 
about the same difference. 

Uranus and Neptune, being farther from the sun, should be still 
colder. The ammonia should be frozen out ef their atmospheres, 
leaving them clear to a greater depth, which may explain the extraor- 
dinary strength of the methane bands in their spectra. The 
methane itself must be nearly ready to condense on Neptune, despite 
its very low boiling point. Assuming, roughly, that Neptune has 


168 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


six mile-atmospheres of methane above its surface, the pressure, due 
to this alone, would be about 500 mm and the limiting temperature 
—165° C. A large excess of hydrogen might reduce this to —183°. 
Solar radiation alone would maintain a mean temperature near 
—220°. Whether the difference arises from the powerful “ green- 
house” effect of the methane itself, or from internal heat, cannot 
yet be determined. It may be, however, that if the methane could 
once be frozen cut of Neptune’s atmosphere, the surface temperature 
would fall so much that it would stay frozen and leave the planet 
with an atmosphere which, apart from the inevitable Rayleigh 
scattering, exerted no influence upon visible light. 

The problem of planetary atmospheres, so perplexing a few years 
ago, is now far advanced toward its solution. Toward its interpre- 
tatien many of the sciences have contributed—astronomy, physics, 
chemistry, geology, biology, and technology. No one of them alone 
could have resolved the difficulties. It may, therefore, be appro- 
priate that the attention of so general a scientific gathering may 
have been invited for a while to it, for it truly illustrates the eld 
motto, “ In union there is strength.” 


THE SURFACE FEATURES OF THE MOON’ 


By F. E. WricuHt 
Geophysical Laboratory, Carnegie Institution of Washington 


[With 4 plates] 


The moon needs no introduction. It has been known to all of us 
from early childhood when we first tried to reach out and touch it 
and later learned to decipher both the man and the lady in the 
moon. In spite of this general interest and friendly feeling toward 
the moon, the president of the Carnegie Institution of Washington 
realized several years ago that its presence in the night sky is re- 
sented by the modern astronomer, especially the astrophysicist. Its 
light interferes with the photography and analysis of far-distant, 
faint celestial objects, such as stars, clusters, and nebulae—incandes- 
cent masses of enormous size, radiating huge amounts of energy into 
space and of special significance because they yield information on 
the extent of the universe and on the behavior and structure of matter 
under conditions of temperature and pressure not attainable in the 
laboratory. These remote, active heavenly bodies appeal to the imagi- 
nation and offer problems of the most fascinating kind for solution. 
The astrophysicist is occupied with receiving and interpreting their 
messages. He learns little in this field from the moon. To him it is 
a lifeless, inert mass, shining only by reflected sunlight and held by 
eravitation in its orbit about the earth. From an astronomical view- 
point, the moon is an insignificant object only 2,160 miles in diameter; 
the sun is nearly a million (864,000) miles in diameter. To us the 
moon appears large because it is distant only 30 earth’s diameters, 
or 240,000 miles. Viewed through a large telescope it appears to be 
only 200 or 300 miles away and details 500 feet apart can be dis- 
tinguished under conditions of good seeing. 

To the layman, not versed in astrophysics, the moon is the most 
conspicuous object in the night sky and the rival of all heavenly 
objects, even including the sun itself. It has played a significant 

1This article presents the progress made by the committee on study of the surface 
features of the moon of the Carnegie Institution of Washington, of which the author is 


ehairman. Reprinted by permission from The Scientific Monthly, vol. 40, pp. 101-115, 
Kebruary 1935. 


169 


170 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


part in many phases of human activity. To it we owe the first sub- 
division of the year into months and weeks, even though in our 
present calendar the lunar cycle is disregarded. The words moon 
and month are derived from the same Sanskrit root, mis, meaning to 
measure. To our primitive ancestors the moon was an object of 
worship; they observed and tried to explain its changes in aspect 
and in position among the stars from day to day. Together with the 
sun it is responsible for the tides, so important to navigation. Its 
light illuminates the sky at night during a part of each month and 
its moonbeams are said to be an important factor in certain human 
decisions. To the formulation of the law of gravitation and to the 
development of dynamical astronomy it contributed much, but to 
modern astrophysics it has added little and it cannot compete with 
other heavenly bodies as an object of study. The astronomer of to- 
day does not appreciate the moon as did Milton when he wrote in 
Paradise Lost: 


oe hes moon 
Rising in clouded majesty, at length 
Apparent queen, unveiled her peerless light 
And over the dark her silver mantle threw. 

In 1609 Galileo first observed through his telescope the surface 
features of the moon, its craters, mountains, and great plains or seas, 
as he called them. Realizing that the moon is a companion of the 
earth and, as he thought, a world not unlike our own, he was 
impressed by the features which he saw, and sought to interpret 
them in terms of terrestrial features. To him and to his contempo- 
raries his telescope seemed to disclose a new world. Following his 
lead, astronomers undertook serious study of the moon’s surface. 
During the next 3 centuries a vast amount of observational data on 
lunar surface features was accumulated and many lunar maps were 
published. Asa result, the geography or rather selenography of the 
moon is well known; no part of the moon’s surface visible to us has 
been left unexplored. Furthermore, selenologists have sought to 
explain the mode of formation of the different features on the moon’s 
surface and have suggested all manner of hypotheses to account for 
them. In spite of all this labor we do not yet know definitely the 
exact nature of the lunar surface materials, nor how any single 
lunar feature was formed. No critical study and classification of 
lunar surface features have been made and no lunar maps free from 
the personal factor have been prepared. 


COOPERATIVE APPROACH 


At the time the committee on study of the surface features of 
the moon was appointed, Dr. John C. Merriam felt that attack by 
a cooperative Carnegie Institution group might be fruitful of 


SURFACE FEATURES OF THE MOON—WRIGHT skrgil 


results, especially if the experience from several branches of science 
could be brought to bear upon it. Accordingly, he chose for mem- 
bership on the committee four astrophysicists, one mathematical 
physicist, one geophysicist, and two geologists.?, The committee was 
given no specific instruction other than that implied in its title; it was 
afforded opportunity to contribute toward the solution of a most 
attractive problem, in part astrophysical, in part geological. 

This policy of assigning to an interdepartmental committee a 
problem of large scope is in keeping with the general policy of 
the Carnegie Institution of supporting organized efforts in fields 
of science too large for one man to encompass. In the early days 
of science it was possible for one person to master all existing know]- 
edge in his own field; advances were then made chiefly through the 
efforts of individual scientists working alone. These men laid the 
foundations on which modern science is being built. Each depart- 
ment of the Carnegie Institution is essentially a group of cooperat- 
ing scientists, each member carrying on research activities of his 
own, but also doing his share of cooperative work. This group 
method of facing each problem from all standpoints and determin- 
ing the best means for solving it is followed not only within each 
group, but also between the several groups within the institution 
and between the institution and outside agencies. The dividends 
accruing from cooperative work of this kind, in terms of scientific 
results obtained for a given sum of money, are unusually large, 
chiefly because of facilities and the background of experience within 
the several groups. Were it not for this factor, the special inter- 
departmental and other cooperative activities would be less success- 
ful. On the other hand, the drawback to committee work of this 
nature is that no member can devote much time to it; results are, 
therefore, gathered slowly and the effort is spread over many years. 


PRELIMINARY SURVEY 


As a preliminary to experimental work on the problems presented 
by study of the surface features of the moon the committee under- 
took to survey the field and to analyze the present status of the prob- 
lem. It sought to visualize the conditions existing at the moon’s 
surface. The observer cannot journey to the moon and gather sam- 
ples, make maps, and plot the field relations on the spot. In geologi- 
cal field work geologists have become accustomed to judge of the 
relative effectiveness of different terrestrial agencies and are inclined 
to interpret what they see in terms of terrestrial factors or processes 

? Members of the committee are: W. S. Adams, F. G. Pease, and EB. Pettit, of Mount 
Wilson Observatory; A. L. Day and F. BE. Wright (chairman), of the Geophysical Labora- 


tory ; and research associates, H. N. Russell, of Princeton University, J. P. Buwalda and 
P. Epstein, of the California Institute of Technology. 


172 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


with which they have had experience. Moreover, the geologist sees 
what he has been trained to see and overlooks much that he would 
otherwise see had he the necessary background of experience. In 
study of the surface features of the moon he is confronted with con- 
ditions with which he has had no contact. Lunar surface features 
have been sculptured by catastrophic agents of different kinds and 
not by the action of running water, or by erosion and deposition in 
the usual sense, or by ordinary wind action, or by weathering. Grav- 
ity is only one-sixth of that on the earth; a mass of rock weighing 
a ton on the earth would weigh only 333 pounds on the moon. At 
the moon’s surface there is no water, no ice; no protective blanket of 
atmosphere to soften the impact of the sun’s rays and to prevent the 
escape of heat radiated from the moon’s surface. The temperature 
ranges are extreme. At midday on the moon, with the sun directly 
overhead, the surface temperature is approximately 120° C. (250° F.) 
or above that of boiling water; at midnight it falls to below 
—100° C. (—150° F.). In spite of this extreme range in surface 
temperatures it is probable that a few feet below the lunar surface 
the inflow of sun’s radiation maintains a temperature not far from 
freezing, or 0° C. 

It is not an easy task for the geologist to adjust his mental attitude 
to such extreme conditions. He has become accustomed, on viewing 
a given terrestrial surface feature, to inquire (a) of what kinds of 
rocks or materials does it consist; (b) what geological agents, oper- 
ating on the original rock mass, have given the surface feature its 
present shape? He has learned to recognize the imprint or earmark 
of each kind of geological agent and seeks in a given case to ascer- 
tain what combination of geological agents or processes, acting one 
after the other or together, have produced the surface feature under 
study. By this method he is able to read and to interpret geological 
history as it is written in the rocks and on their surface. In his 
study of the surface features of the moon he is confronted with 
physiographic forms which, in part, are quite unlike anything he has 
seen on the earth; also, he misses the familiar effects of erosion. To 
him the surface of the moon presents a weird picture. He realizes 
that before he can begin to make progress on lunar physiographic 
problems, he must first ascertain the nature of the materials which 
he sees exposed on the moon; then determine how those materials 
behave under the known lunar surface conditions. In other words, 
he must acquire a good working knowledge of the petrology of the 
lunar surface materials. In addition, he needs a good lunar map, 
preferably a topographic map, by use of which he can obtain an 
idea of the spatial relations of the different features. This is asking 
a good deal and the task might seem hopeless were it not for the 


SURFACE FEATURES OF THE MOON—WRIGHT 173 


fact that messengers are continually reaching us from the moon in 
the form of reflected sun’s rays; they will teach us much if we can 
decipher and interpret their messages correctly. 


THE MOON’S SURFACE 


The general features of the moon’s surface are shown in plates 2 
to 4. The dark smooth areas of plates 2 and 4 are called seas or 
maria; the lighter areas bordering the maria are the mountains; the 
features of circular outline are called craters because of their resem- 
blance to terrestrial craters. The craters dominate many parts of 
the moon’s surface and are remarkable for their range in size and 
for their frequency. Of small craters there are literally thousands 
spread over the surface of the moon. The larger craters greatly ex- 
ceed in dimensions terrestrial craters. Many of the craters, located 
in the maria, have smooth floors, level with the ground of the sur- 
rounding country; other craters are much deeper and less smooth; 
in many of these craters there is a central hill or series of peaks 
which rise from the crater floor; on several of these peaks there is 
perched, in turn, a small crater (pl. 3). The area covered by a 
mare is greater than that of any one of the great plains regions of 
the earth. Mare Imbrium, which occupies the central portion of 
plate 2, is 800 miles across. The maria are relatively late formations 
and spread, as floods over preexisting craters and other features, sub- 
merging them either completely or nearly so. 

One of the most impressive craters on the moon is Copernicus 
(pl. 3); it is 56 miles across and 13,500 feet deep, about as deep as 
Mount Blane is high, and with central hills rising 2,400 feet above 
its floor. The simplest method for measuring the elevation of a lunar 
feature above the adjacent country is to ascertain the length of its 
shadow when it is near the terminator or the limit of illumination 
across the moon’s disk. We know at any given time and for any 
point on the moon’s surface the angle which the sun’s rays make 
with the vertical to the moon’s surface at that point, so that it is 
a simple task to compute from the given angle and the length of the 
shadow the height of the feature casting the shadow. Another 
method is based on the shift in longitude relations between adjacent 
features of different elevations with changes in libration. Still an- 
other method is the stereoscopic method, which also is based on phe- 
nomena due to libration. The terraced inner walls of Copernicus are 
conspicuous; also the rays or streaks which emanate from it and ex- 
tend for great distances across Mare Imbrium. The most pro- 
nounced rays, however, radiate from Tycho (pl. 4); this crater is 
54 miles across and 17,000 feet deep; a central hill rises 5,200 feet 
from its floor. It is located in a part of the moon which is domi- 
nated by craters large and small and of different ages. The more 


174 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


recent craters are more sharply outlined and are lighter in color, as 
a general rule. Not far above Tycho in plate 4 is located Clavius, 
a magnificent crater 142 miles in diameter, 17,000 feet deep, and 
containing smaller craters, one of which is larger than any terres- 
trial crater. In this figure also a fault scarp is shown in the mare 
below Tycho which is called the “ Straight Wall ”; it is 70 miles long 
with a downthrow of nearly 1,000 feet on the east. 

Study of the mountainous areas in the photographs and on other 
parts of the moon shows that they are unlike terrestrial mountains 
and are for the geologist and the astronomer exceedingly difficult 
to interpret. The heights of the mountains reach 25,000 feet in 
isolated cases; the deepest crater has a depth of 24,000 feet. The 
lunar mountains are extremely rough and would be difficult to trav- 
erse, even if there were water and air present to support life. This 
is not the place to discuss the many hypotheses which have been 
suggested to account for the mode of formation of the different 
types of lunar surface features. Suffice it to state that no single 
hypothesis has been adequately proved so that it can be accepted 
without reservations. Each hypothesis contains certain elements of 
truth. With reference to the volcanic theory of the origin of the 
craters, the observed intimate relationship between lunar crustal 
structure and the occurrence of craters indicates that some of the 
craters, at least, are due to volcanic action. On the other hand, the 
translational energy of a meteor impinging unimpeded on the moon 
with a velocity of 20 to 40 kilometers a second and penetrating into 
the surface for some distance is able not only to produce the crater 
form, but also, on transformation of the residual kinetic energy into 
heat, to melt and even to volatilize the country rock and thus set up 
actions which in their effects would closely resemble volcanic phe- 
nomena. In this connection the low lunar gravity is an important 
factor. 

From a geological standpoint the absence of water and air on the 
moon together with its low gravity are factors favorable to the 
development and maintenance of extremes in surface forms. One of 
the results of low gravity and the lack of air resistance is the greatly 
increased length, twenty-five to fifty fold, of trajectories of materials 
thrown out of lunar craters as compared with the trajectories of 
materials ejected at the same initial velocity and angle of elevation 
on the earth. For a muzzle velocity of 1,600 meters (5,250 feet) per 
second, equal to that of the Big Bertha gun which the Germans used 
against Paris during the World War, the terrestrial range for an 
elevation angle of 50° is 75 miles; on the moon the maximum range 
for this initial velocity is 2,200 miles, or more than one-quarter of 
the distance around the moon. The rays from Tycho have been 


SURFACE FEATURES OF THE MOON—WRIGHT £75 


traced for approximately 1,500 miles; for this distance an initial 
velocity of 1,480 meters (4,856 feet) per second is required and an 
elevation angle of 26°. An initial velocity of ejection from terres- 
trial volcanoes exceeding 2 kilometers a second has been deduced 
from observations of the volcano Cotopaxi. It is evident, therefore, 
that the ranges of ejection on the moon can easily have been pro- 
duced by volcanic explosive forces comparable to those active on the 
earth. On the moon the materials ejected from a lunar crater are 
scattered far and wide, whereas on the earth the greater part of 
the ejected rock fragments and blocks fall near and into the crater 
orifice. As a result of this dispersion the lunar craters are cleaned 
out as a rule and are of the nature of deep holes in the ground with 
the floor of the crater below the level of the surrounding country; 
the floors of terrestrial craters, on the other hand, are near the top 
of the crater and high above the level of the adjacent country. This 
is one of the factors to be taken into account in a study of lunar 
craters. It is not permissible to conclude that, because the shape of 
a lunar crater is similar to that of a terrestrial crater the mode of 
formation of the two was the same. 


MAPPING THE MOON 


Before the geologist can make satisfactory progress in lunar 
physiographic studies he must have a topographic map, at least of 
the central portion, to aid him in visualizing the shapes of the lunar 
surface features and of their relations one to another. He can then 
classify the features, and by studying them in detail can acquire 
a background of experience in lunar geology which is necessary to 
competent interpretation of the phenomena observed. 

Of maps there are two kinds, the plan or base map and the topo- 
graphic. Thus far, for the moon, only the first kind has been at- 
tempted. It represents the moon’s globular surface projected on a 
definite plane and shows the features somewhat as the astronomer 
sees them through his telescope. These maps have been drawn by 
astronomers untrained in the principles of map-making, with the 
result that existing maps are unsatisfactory in several respects; 
the balance between map scale and amount of detail shown is not 
realized and some of the maps are not easily legible; several lunar 
maps have been prepared by men who were good observers, but 
not good draughtsmen and unable to portray what they saw. In 
other words, the existing maps suffer from the personal equations 
of the men who drew them. Comparison of a lunar map made a 
century ago with one made recently shows marked differences in the 
representation of certain features; on the basis of such a comparison 
it has been concluded that changes have taken place here and there 


176 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


on the moon. But astronomers do not agree as to the validity of any 
single change, and the bulk of the available evidence goes to show 
that there has been no appreciable change on the moon’s surface 
within the past century. 

It seemed, therefore, to the moon committee that a lunar map 
should be prepared which is free from the personal equation and not 
dependent on the skill of the observer to depict correctly what he 
sees on the surface of the moon. The positions of approximately 
4,000 points on the moon’s surface have been accurately measured by 
Saunders, Franz, and others and expressed in terms of selenographic 
longitude and latitude. With the aid of these data on position it is 
possible to ascertain the amount and direction of libration in each 
photograph of the moon. If each photograph could be transformed 
so that its plane coincides with the plane of mean libration, namely, 
the plane on which all lunar maps are projected, the transformed 
photograph would form part of a lunar map and at the same time be 
free from the personal equation of the one who makes the map. ‘To 
prepare a photographic map of the moon it is necessary to trans- 
form photographs taken with the aid of the 100-inch telescope at 
Mount Wilson so that the plane of projection is the same for all 
photographs. A map is a projection on a definite plane; the type of 
projection and the plane of projection must be quite definite if the 
map is to be satisfactory. For the transformation of the photo- 
graphs a special moon house has been built at Mount Wilson. It is 
a specially insulated structure with double walls, corrugated sheet 
iron on the outside and paper on the inside with ventilation between 
the walls so that they quickly respond to temperature changes out- 
side. The floor is covered with a layer of sawdust 6 inches thick to 
prevent radiation from the ground. As a result, the temperature 
distribution within the 150-foot building is remarkably uniform and 
seeing conditions are good so long as the temperature outside is not 
changing rapidly and there is no appreciable wind. 

To transform a given moon photograph taken at the Cassegrain 
focus of the 100-inch telescope (focal length 135 feet), the moon 
positive, 15 inches in diameter, is mounted in front of a powerful 
beam of light reflected by an Army searchlight mirror 3 feet in 
diameter; the light passes through the positive to a parabolic sil- 
vered mirror of 67.5 feet focal length and 135 feet distant and 
thence back to a carefully turned globe of bronze, 15 inches in diame- 
ter and coated with magnesia powder. This coating furnishes a 
white diffuse reflecting surface. The image of the moon formed on 
it is in all respects similar to the moon in the relations of the sur- 
face features one to the other; in other words, it is a miniature 
moon which can be photographed from any direction. For this 


SURFACE FEATURES OF THE MOON—WRIGHT 177 


purpose a second reflecting mirror, also of 67.5 feet focal length, is 
placed at such a position that it views the moon from the direction 
of mean libration and casts an image of it on a photographic plate 
mounted in a compartment beside the illuminated globe. The photo- 
graphs thus produced are projections on the plane of mean libration ; 
they fulfill the requirements of a map on a given scale. In order to 
complete the series of maps showing the moon at different phases 
we still need photographs taken with the 100-inch telescope and its 
zero corrector lens. During the past 2 years the seeing conditions at 
Mount Wilson have not been such that we could obtain photographs 
of the quality desired for this purpose. The series of maps made 
by this method will be independent of the personal factor and be 
more valuable a century hence than at present. 


PHOTOGRAPH OF MOON ON GLOBE 


The projection of the moon positive on the magnesia-coated globe 
gives a surprisingly beautiful and realistic representation of the 
moon’s surface. The correct and undistorted appearance of the 
craters and other features near the edge of the moon’s disk is of 
great aid in the visualization of the surface relationships. In order 
to make this globular representation more accessible, a glass globe 
coated on the outside with photographic emulsion was substituted 
for the magnesia-coated bronze globe and the moon negative pro- 
jected on it, thus producing a moon transparency which is angle 
true. The globe is frosted on the inside and illuminated by an elec- 
tric bulb. The coating with photographic emulsion was done, 
through the courtesy of Dr. C. E. K. Mees, by the Research Labora- 
tory of the Eastman Kodak Co., and represents a new advance in 
photographic technique. A dozen of these globes have been pre- 
pared; they will be useful to the moon committee in its physio- 
graphic work later; they may also serve as exhibits of miniature 
moons showing the moon at different phases. 

The committee has also devised a method for making a topo- 
graphic map of the central part of the moon out to 45° from the 
center and with contour intervals of 500 feet or 200 meters. For 
the preparation of this map advantage is taken of the libration of 
the moon to obtain stereoscopic images from which, in turn, the 
relative elevations can be ascertained by applying the principle used 
in areal mapping from airplane photographs; with this difference, 
however, that in airplane mapping the surface of reference or datum 
plane is a horizontal plane, whereas on the moon we are interested 
in the elevations with reference to a mean spherical surface. The 
apparatus has not yet been built, and we shall not stop to consider 
details of the method. 


178 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


SURFACE COMPOSITION 


We come now to the problem of ascertaining the nature of the 
materials exposed at the surface of the moon. Obviously, we are 
limited, in our approach to the problem, to a determination of the 
effects which the materials have on sunlight on reflection. One 
and a quarter seconds after the sun’s rays leave the moon they reach 
the earth. We can study and measure these reflected rays by dif- 
ferent methods and compare them with direct rays from the sun. 
We can also study and measure the changes produced in sun’s rays 
on reflection by terrestrial materials, such as rocks of various kinds 
and other substances. These changes are not limited to the visible 
spectrum, but include all the radiation received through the earth’s 
atmosphere from the ultraviolet into the infrared. The effects 


PERCENT 


Fieurs 1.—Change in plane polarization of moonlight from maria. The curves show 
the changes in percentage plane polarization of moonlight from different lunar maria 
with change in phase angle. 


produced are of two kinds: A certain amount of plane polariza- 
tion is introduced and different parts of the spectrum are reflected 
to different degrees. Light is considered to be caused by vibrations 
in a special medium. ‘These vibrations take place, in free space, 
at right angles to the direction of propagation. If the vibrations 
are limited to a single plane, containing the direction of propaga- 
tion and a line perpendicular thereto, the light is said to be plane 
polarized. White light consists of vibrations of different fre- 
quencies; it can be resolved into its component parts or frequencies 
by the use of a spectroscope or spectrograph. The human eye is 
sensitive to a small part only of the range of radiation frequencies; 
this part is called the visible spectrum; those portions which are 
beyond the power of the eye to sense are called the ultraviolet and 
the infrared, respectively, when the frequencies are higher or lower 
than the frequencies in the visible spectrum. 


SURFACE FEATURES OF THE MOON—WRIGHT 179 


Thus far we have used, and are still using, four different methods 
for these measurements; a visual method employing a special polariza- 
tion eyepiece for the measurement of the amount of plane polarization 
in the rays for different points on the moon’s surface and at different 
phases of the moon; a photoelectric-cell method for the measurement 
both of the amount of plane polarization and of the relative spectral 
intensities of the rays; a thermoelement method for the same purpose ; 
and a polarization spectrograph. These methods require special appa- 
ratus, devised or adapted to the problem in hand. The moon is an 
unusually favorable object for the testing of new methods and appa- 
ratus suitable for analyzing the characteristics of sunlight reflected 
by a planet or satellite of the solar system. 


3 


PERCENT 


Fictrn 2.—Change in polarization in moonlight from mountains. The curves show the 
changes in percentage plane polarization of moonlight from different mountainous areas 
with change in phase angle. 


For the visual measurements a special eyepiece enables us to 
ascertain the percentage plane polarization in a moonbeam accurate 
to one-fifth of 1 percent. The field of the eyepiece is a divided 
photometric field in which two factors, equality of illumination and 
exact alignment of Savart fringes, are the two criteria used in mak- 
ing a measurement; it is the combination of these two factors which 
renders the method so accurate. With the aid of this eyepiece 24 
selected small areas on the moon have been studied and the amounts 
of plane polarization in the reflected light measured for different 
phases of the moon. The measurements extended over four luna- 
tions, and nearly 10,000 individual readings with the new eyepiece 
mounted on a 6-inch refracting telescope were made, so that we now 
know with a fair degree of certainty the amount of plane polariza- 
tion present in a beam of moonlight from any given area on the 
moon at any given phase. The general results are shown in figures 
1 and 2. On an average the mountains and lighter areas reflect 


36923—36——13 


180 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


more light and contain approximately half as much plane polarized 
light as the light from the maria and other dark areas. The maxi- 
mum polarization occurs at the lunar phase angles, 100° to 110° 
and 280° to 290°, and attains the maximum value of 16 percent in the 
case of 1 or 2 maria. The plane of vibration is commonly nor- 
mal to the plane of incidence; but near full moon the polarization 
is negative and the plane of vibration is in the plane of incidence. 
At phase angles, +22° to 23°, the polarization is zero for practi- 
cally all points on the moon’s surface. It is also zero for phase 
angles 0° (full moon) and 180° (new moon). This negative polar- 
ization, first discovered by Lyot, attains a value roughly of 1 per- 
cent as a rule. It is an abnormal phenomenon and is probably 
due to diffraction and scattering. It is also observed on terrestrial 
materials, 

Measurements of the percentage amounts of plane polarization 
in sunlight reflected by terrestrial materials are being made with the 
new eyepiece; they are not yet complete. When finished, they will 
enable us to group the materials according to this preperty and thus 
to ascertain with a fair degree of probability the nature of the lunar 
surface materials. We know from measurements made with the less 
accurate predecessor to this eyepiece that dark, opaque rocks and 
other substances polarize the light more or less completely at certain 
phase angles; whereas light-colered rocks and materials, into which 
the light can penetrate and be reflected, polarize the light relatively 
little, thus indicating that the lunar surface materials are of the 
latter type. Additional evidence that the surface materials are of 
the nature of volcanic ashes and pumice, high in silica, is given by 
the rate of cooling of the moon’s surface during an eclipse. As the 
earth’s shadow passes over the moon its surface temperature drops, 
in the course of an hour, from +120° C. to below —100° C., accord- 
ing to measurements by Pettit and Nicholson of Mount Wilson Ob- 
servatory. This signifies, as computations by Dr. Epstein of our 
committee show, that the lunar surface materials are exceedingly 
good heat insulators; in other words, they have very small heat 
capacity, are peor heat conductors and cannot, therefore, be massive 
materials, like granite or limestone, but rather light substances re- 
sembling, in characteristics, pumice and volcanic ashes. 

Measurements by the three other methods, photoelectric cell, 
thermoelement, and the polarization spectrograph, are now in prog- 
ress. In these three methods the special apparatus is mounted on a 
20-inch reflecting telescope and the light from a given small area on 
the moon is received on the light-sensitive receiver. The photo- 
electric cell attachment consists of a special large compound Wolla- 
ston prism of quartz in a rotatable mount, a vacuum potassium Kunz 


SURFACE FEATURES OF THE MOON—WRIGHT 181 


photocell of fused quartz, and the special amplifying circuit of 
DuBridge and Brown adapted and improved by Dr. Stebbins and 
employing the new electrometer tube D-96475, of the Western Elec- 
tric Company. A more refined apparatus of this type is employed 
by Dr. Stebbins in his work with the photoelectric cell on the stars 
and nebulae. The thermoelement is of the vacuum type, made by 
Dr. E. Pettit, and is equipped with the rotatable compound 
Wollaston prism of quartz; like the photocell, it is used together with 
ray filters to isolate certain parts of the spectrum. The thermoele- 
ment is not nearly so sensitive as the photocell, but it extends over 
the entire spectrum and is useful as a check on the other measure- 
ments. The polarization spectrograph is of the ultraviolet type, but 
also serves throughout the visible spectrum. In the parallel beam 
between the collimator and the first prism a Wollaston prism of 
quartz in a sliding mount can be inserted and two spectra obtained, 
the one with vibrations in the plane of incidence and the second with 
vibrations normal thereto. Approximately 200 spectrograms of dif- 
ferent parts of the moon were taken with this spectrograph during 
the past summer. The spectrograms yield information both on the 
percentage polarization for any given wave length and on the rela- 
tive intensities for different wave lengths. Although not so sensitive 
as the photoelectric cell, the polarization spectrograph covers a much 
wider range of wave lengths, through the ultraviolet into the deep 
red of the visible spectrum, 


PROGRAM FOR FURTHER WORK 


We plan to complete these measurements within the next 2 or 3 
years; also to measure the changes in polarization of total moonlight 
with change in phase and for different parts of the spectrum; also 
the change in total intensity of moonlight with change in phase; 
also to obtain additional photographs of satisfactory quality to en- 
able us to proceed with the preparation of the photographic lunar 
map. We are working along quite definite lines with apparatus and 
methods developed in detail. We shall gather data of measurement 
which should enable us to ascertain with fair certainty what the 
lunar surface materials are and how they are disposed over the sur- 
face of the moon insofar as it is visible to us. With that informa- 
tion available, together with a good lunar map and a knowledge of 
the conditions existing at the surface of the moon, we shall be in a 
position to attack the problem of the physiography and mode of 
formation of the lunar surface features. 

The questions arise: Why should a problem of this sort be solved ? 
Why should a scientist give his time and energy to their solution? 
These are proper questions and they should be faced. The scientific 


182 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


spirit of the investigator impels him to search after the truth and to 
do so by experiment and measurement. His interest is objective and 
is centered chiefly in the overcoming of difficulties incident to the 
pioneer work of advancing knowledge. For the most part he is the 
expert workman, operating through his fingers, using tools of his 
own design and adding his bit to the fund of knowledge. In the 
case of a problem like that of the moon, he does not inquire too close- 
ly into the immediate usefulness of the results obtained; his first 
desire and task is to devise methods and apparatus adequate for the 
attack. The routine measurements needed to obtain the results are 
a necessary step toward the solution. That these methods and de- 
vices will have application to other problems of similar nature is to 
him a satisfaction; but the real incentive is the game of overcoming 
the difficulties inherent in the problem. 

Experience has shown that scientific research work does yield 
returns, even when the research problem is in the field of astron- 
omy. The several fields of science are so intimately related that 
advance in the one field commonly means advance in another. The 
practical applications of the results of science and of its method 
of approach have meant much to us in a physical and materialistic 
sense; but equally important is the training in attitude of mind 
toward nature, its constancy and reliability. We research workers 
fail in our task if we do not pass on some of the inspiration we 
derive from close contact with nature, its forces, and factors which 
are quite beyond our comprehension. We glimpse these elements 
from afar and realize with humility how lmited is our under- 
standing of even simple things. But we do sense a goal which, 
if it were more generally realized, would add stability and proper 
placing of emphasis on the things that count and tend to bring us 
into accord with the principles of life which endure and have stood 
the test of time and human experience. 


Smithsonian Report, 1935.—Wright PRAT E41 


‘Corporis Lin 
es Sorta oa 


Dr. J. C. Hostetter. 
EARLY SKETCH MAP OF THE MOON. 


Prepared by P. Cherubino d’Orleans. Published in the book ‘‘Oculus Artificialis Teledioptricus sive 
Telescopium’’, by J. Zahn, Norimbergae, 1702. 


Smithsonian Report, 1935.—Wright PEATE 2 


F. G. Pease, Mount Wilson Observatory, Sept. 15, 1919. 


NORTHEAST PORTION OF MOON’S SURFACE. 


Mare Imbrium occupies the central part of this view. It is 800 miles across and is bordered by high 
mountains of strange aspect. Observe the diversity in sizes and characteristics of the circular features 
or craters. 


Smithsonian Report, 1935.—Wright PLATE 3 


F. G. Pease, Mount Wilson Observatory, Sept. 15, 1919. 
EAST CENTRAL PORTION OF MOON'S SURFACE. 


Copernicus is a magnificent crater 56 miles across and dominates this ‘‘metropolitan’’ area of the moon. 
Observe the streaks of light materials which radiate from Copernicus. 


Smithsonian Report, 1935.—Wright PLATE 4 


F. G. Pease. Mount Wilson Observatory, Sept. 15, 1919. 


SOUTHEAST SECTION OF MOON'S SURFACE. 
The large sharply defined crater near the center of the view is Tycho. It is 17,000 feet deep and 54 miles 
across; from it white streaks radiate for long distances. Clavius, a still larger crater, 142 miles in 
diameter and located above Tycho, is one of the most interesting features on the moon. 


THE UPPER ATMOSPHERE* 


By G. M. B. Dosson, D. Sce., F. R. S. 
Reader in Meteorology in the University of Oxford 


Recent progress in the investigation of the upper regions of the 
earth’s atmosphere has been mainly along two different lines. The 
first is connected with what may be called the meteorological state 
of the atmosphere, namely, its temperature, density, etc., while the 
second has to do with its electrical characteristics. Many balloons 
carrying meteorological instruments have been sent up, but the great 
majority of these have failed to reach a height of 25 kilometers. In 
a few cases where specially large balloons were used a height of 380 
kilometers has been reached and a balloon sent up in Russia has 
recently been reported to have reached 40 kilometers. In order to 
obtain information about the atmosphere at still greater heights it is 
necessary to employ indirect methods of exploring the atmosphere. 
Fortunately, several such indirect methods are available and it is 
our present purpose to describe them and the results that have been 
obtained from them. 

Meteorological conditions below 20 kilometers—F¥rom the large 
number of sounding balloons which have been sent up in many 
countries carrying recording instruments the general meteorolog- 
ical conditions of the air up to 20 kilometers are now fairly well 
known. In the lower part of the atmosphere the temperature falls 
with increasing height at a rate of about 6° C. for every kilometer 
rise. The exact rate at which the temperature falls differs from day 
to day and may be different at one height from that at another 
height. The fall of temperature with height does not, however, con- 
tinue indefinitely, but at some fairly well-defined height it stops 
and the temperature from this point upward is found to change 
but little as the balloon ascends to its greatest height. The height 
where the temperature ceases to fall—known as the Tropopause— 
is usually between 8 and 14 kilometers in Europe. 

The results from recording balloons thus show that the atmos- 
phere is divided into two parts by its thermal structure; the lower 


1 Reprinted by permission from Science Progress, vol. 30, no. 117, July 1935. 


183 


184 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


part, in which the temperature falls with increasing height, is 
known as the troposphere and the upper part as the stratosphere. 
The conditions in these two regions do not remain constant from 
place to place nor from day to day. Over the Equator the lower 
air is naturally warmer than that over the polar regions, but over 
the Equator the troposphere extends to an average height of some 
17 to 18 kilometers. As the temperature is falling at a rate of some 
6° C. for every kilometer throughout all this height, it is very low 
by the time the stratosphere is reached, being about 80° C. below 
zero. In polar regions the stratosphere comes relatively low down 
and begins at a height of 6 to 8 kilometers, with the result that 
though the temperature of the air at ground level is very low there 
is no great difference between the air at the surface and that in the 
stratosphere, and the latter has a temperature of about 40° C. below 
zero. The temperature of the stratosphere over the polar regions is 
thus much warmer than that over the Equator, and as there is little 
change of temperature with height in the stratosphere we find 
the rather surprising result that at a height of 16 to 20 kilometers 
the air over the polar regions is much warmer than that at the same 
height over the Equator. Indeed, the coldest air in the atmosphere 
is probably that at a height of 18 kilometers over the Equator. 

The conditions of the air in both the troposphere and stratosphere 
also vary from day to day, and these variations are closely asso- 
ciated with the meteorological situation. When a well-defined de- 
pression has just passed across the country, it will be found that 
the troposphere is colder than usual, that the stratosphere is ab- 
normally low and that its temperature is above the average. On 
the other hand, when a well-marked anticyclone covers the country 
the troposphere will be warm, the stratosphere cold, and the tropo- 
pause high. It will be seen that these changes are similar to the 
changes with latitude, so that the conditions in middle latitudes in 
the rear of a depression are similar to those in polar regions and 
the conditions in an anticyclone are similar to those in equatorial 
regions. 

Meteorology of the upper atmosphere-——What has been described 
above has now been known for several years, but until recently little 
was known about the conditions above 20 kilometers, and it was 
usually supposed that the temperature would remain roughly con- 
stant up to very great heights. This view was questioned when 
the results of observations of meteors passing through the upper 
atmosphere were used to give a rough idea of the temperature at 
these heights. Contrary to expectation, it appeared that the tem- 
perature rose again above the stratosphere and became as warm 
or warmer than the air at ground level. These results were, how- 


THE UPPER ATMOSPHERE—DOBSON 185 


ever, very rough, chiefly because it was not possible to get accurate 
measurements of the brightness and speed of the meteors. 

The idea that the air at a height of some 50 kilometers might be 
warm was found to fit in with the observations of sound heard at 
a great distance from its source, and such observations have now been 
used to give us a much better knowledge of the temperatures at 
heights of between 40 and 70 kilometers above the surface. When 
a large explosion occurs, the sound is heard for many miles around, 
but not to such great distances as might be expected. That the 
sound is not heard farther away is largely due to the fact that 
sound travels faster in warm air than in cold air. Since in the 
lower atmosphere, the temperature falls with increasing height, 
sound travels faster through surface air than through the air a 
little higher up. Thus the sound waves near the surface run ahead 
of those above, with the result that the sound ray is bent upward, 
away from the ground. 

The bending of sound waves upward is well seen in the fact that 
sounds in a valley are often heard much more clearly on the hills on 
either side than at places the same distance away in the bottom of 
the valley. Now, in the case of very large explosions it is fre- 
quently found that while the sound cannot be heard for more than 
20 or 30 miles round the explosion, it is heard again at places very 
much farther away, perhaps a hundred miles from the explosion, 
and often heard quite loudly. Such cases as the firing of salvos by 
the fleet often show this phenomenon, and in a recent case when the 
fleet was off Portland Bill the firing was heard as far away as 
Surrey and Oxfordshire but not at many intervening places. 

The sound waves which are heard at these great distances are 
found to have taken some 2 minutes longer over their journey than 
they should have done had they traveled direct through the lower 
atmosphere. From this and the fact that they are not heard at 
intermediate distances, it seems clear that the sound has traveled 
up into the upper atmosphere and then been deflected back to the 
ground. ‘This curious behavior had been known for a long time and 
several explanations had been suggested to account for the fact that 
the sound is deflected back to earth by the upper air. One sug- 
gestion was that the upper air was largely composed of hydrogen, 
and since it is known that sound travels faster in hydrogen than in 
oxygen and nitrogen, this would account for the downward bending 
of the sound rays. None of these explanations, however, carried 
conviction until Dr. Whipple pointed out that if the temperature 
rose again at very great heights, as was suggested from the meteor 
results, then the sound rays would be bent down on entering this 
upper warmer region in just the same way as they are bent upward 
by the fall of temperature in the air near the ground. 


186 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


This last explanation seems quite satisfactory and its importance 
is that it gives a method of measuring the temperature of the air at 
the great heights reached by the sound waves. By using special 
microphones instead of the ear it is possible to detect the waves from 
the firing of one big gun at a distance of a hundred miles or more. 
It is easy to measure the total time taken by the sound to travel 
along its path to the upper atmosphere and back, and further, by a 
suitable arrangement of three microphones at the receiving station, 
it is possible to measure the angle at which the downcoming sound 
ray strikes the earth’s surface. Given such observations, it is not 


| 
! 
| 
! 


Increasing 


aS 


200%. 275, eae 


0 


Ficgurp 1—The passage of sound waves to great distances. (After Whipple.) The 
diagram represents a vertical section of the atmosphere and shows two paths by 
which sound waves may travel to great distances via the upper atmosphere. The 
source of the sound is at the bottom left-hand corner. The sound waves are bent 
upward in the lowest region and downward in the upper region owing to the opposite 
temperature gradients in these regions. In the middle region of constant temperature 
the sound travels straight. 


difficult to calculate most of the details about the path traveled by 
the sound, such as the maximum height above the ground and the 
speed of sound at that height. Then, since the speed depends on 
the temperature of the air, it is possible to estimate the temperature 
of the atmosphere at these great heights. 

Not infrequently two or more sets of downcoming waves are re- 
corded at a great distance which all come from one single explosion, 
the waves being separated from each other by several seconds and 
the angle at which they strike the earth being different in each case. 
In such cases it is clear that the waves have traveled through the 
upper atmosphere by different paths, reaching different maximum 
heights before finally converging on to the recording microphones, 


187 


THE UPPER ATMOSPHERE—DOBSON 


Such a complication instead of obscuring the results only gives 
increased information, since each set of waves can be treated sep- 
arately and the temperature can be found for the different heights 
to which they have penetrated. Thus we get not only the tempera- 
ture at one height but that at two or more heights and so the rate 
of rise of temperature with height. This rise of temperature is found 
to begin at a height of about 35 kilometers and is at a rate of about 
6° C. per kilometer of height and is therefore roughly the same as 
the rate of decrease of temperature with height in the troposphere. 
It is not yet certain how far this increase of temperature with height 
continues, but it appears that the tem- 
perature has risen to about 100° C.— 
the boiling point of water—at a height 
of 60 to 70 kilometers and that it is still 
higher above. 

Up to the present time most of the 
observations of the upper-air tempera- 
tures by means of sound waves have 
been made in Europe, but it seems now 
to be established that the upper warm 
region extends over the Equator at 
much the same height as in Europe, 
while it has been found in polar regions 
also. When it is possible to accumu- 
late more observations it will be inter- 
esting to determine the diurnal and 
annual variation of temperature at 


100°C. 


er 0. OF a 


igure 2.—Probable disiribution of 


temperature with height over 
England. The continuous line 
from the ground level to 20 km 


these great heights, as well as to see if 
there are day to day changes in temper- 
ature associated with weather condi- 
tions similar to those found at lower 


shows the average temperature as 
obtained from balloon ascents. 
The dotted line indicates the prob- 
able temperature as obtained from 
sound waves. 


levels. Unfortunately, the cost of spe- 

cial explosions is high and most of the observations made in this 
country have utilized the sound from big guns which were fired for 
other purposes. It is a curious circumstance, probably due to wind 
at great heights, that the sound is hardly ever heard to the west of 
the source in winter nor to the east of it in summer. 

Cause of the warmth at great heights—The temperature of the 
air in the troposphere, where there is constant mixing of the air 
between various levels, is governed largely by the supply of heat 
constantly received by contact with the warm ground. In the 
stratosphere, and above, the conditions are different and there is 
little or no mixing with the air below. Here the temperature de- 
pends on the absorption and emission of radiation. Radiation from 
the sun—largely in the form of visible hght—passes inward through 


188 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the atmosphere and an equal amount of energy passes outward from 
the earth in the form of dark heat radiation. Only certain gases 
in the atmosphere take part in this absorption and emission of radia- 
tion; nitrogen, for example, is nearly transparent to all the types 
of radiation passing through the atmosphere, but oxygen, ozone, 
and water vapor strongly absorb and radiate certain particular 
types, being transparent to others. Thus oxygen strongly absorbs 
the radiation of the very shortest wave lengths received from the 
sun, namely the extreme ultraviolet radiation. Ozone strongly ab- 
sorbs radiation of rather longer wave lengths though still in the in- 
visible ultraviolet region of the spectrum, and also absorbs a little 
in the yellow-green, and again a little in the long-wave infrared 
region. Oxygen and ozone together absorb about 6 percent of the 
total energy of the sun coming to the earth, and since the absorp- 
tion is very strong this energy is absorbed by the air at a very great 
height in the atmosphere. Water vapor is nearly transparent to 
all the visible and ultraviolet radiation received from the sun, but 
strongly absorbs most of the long-wave infrared radiation emitted 
by the earth. 

The radiation from all bodies at temperatures below red heat takes 
the form chiefly of infrared radiation. Oxygen and ozone can emit 
little radiation of this kind, so that the loss of heat by emission of 
radiation is chiefly due to the water vapor present. If only water 
vapor were present, it would absorb little energy from the sunlight 
but would absorb the infrared radiation emitted by the earth and 
would bring the air to a temperature of about 50° C. below zero, at 
which temperature it would be absorbing and emitting equal 
amounts of radiation so that its temperature would remain constant. 
It is this process which chiefly governs the temperature of the 
stratosphere, as oxygen and ozone do not play any appreciable part 
here, because all the solar radiation which they could have absorbed 
has already been absorbed much higher in the atmosphere. 

Passing now to the extreme upper limits of the atmosphere we 
come to the region where oxygen and ozone absorb the 6 percent of 
the sunlight mentioned before. ‘This amount of energy is very large 
and at these heights there is not much water vapor, so that the 
atmosphere cannot easily lose heat by radiation. The result natu- 
rally is that the temperature of the air rises very much until the 
small amount of water vapor present is able to emit as much energy 
as is absorbed. Thus it will be seen that the actual temperature at 
any level depends on the amount and character of the radiation 
absorbed and radiated away and therefore on the relative amounts 
of water vapor and oxygen and ozone which are present. 

If we knew the amount of oxygen, ozone, and water vapor present 
at every height in the atmosphere it would be possible to calculate 


THE UPPER ATMOSPHERE—DOBSON 189 


the temperature at all levels. The vertical distribution of oxygen 
can be assumed without any great error, and the distribution of the 
ozone has been measured, but we are still without reliable knowledge 
of the amount of water vapor at heights above 20 kilometers. As- 
suming various distributions of these gases Dr. Gowan has calcu- 


SS SSdSscsyss 
S HSS SSS 


SSS RS Ss es 
SSCS. S38 SASS 


Lindenberg 5 
2 iE Ne 


== 300 


Notation 


1926 & 


/G27 ¢ 250 
1928 O (ee 00! cm 


1929 X at NIP 
. 5 D 4S ° am - . D 2 3 
Seca AS aS NGG ca SS PCG Sateen Seow BRO 
Se€&S—<SC Ss TI sCGss§ FLERSIIISsxzwegs 
Figure 3—Annual variation of ozone. The curves show the smooth annual variations 
in the total ozone content of the atmosphere over different parts of the world. The 
points represent the mean monthly observed values. Note that the amount of ozone 


is large in spring and small in autumn in both hemispheres. [Figures 3, 4, 5, and 6 
are reproduced from the Proceedings of the Royal Society by permission of the Council. ] 


lated what would be the temperature of the air at great heights. 
His results show that there should be a marked rise of temperature 
of the air in the region about 40 kilometers, agreeing reason- 
ably well with the actual temperatures found from sound-wave 
observations. 

The ozone in the atmosphere—Both oxygen and ozone are re- 
sponsible for causing the air to be warm at great heights, but the 


190 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


effect of oxygen is greatest in the upper parts of the warm region, 
while the effect of the ozone is greatest in the lower parts of that 
region. A point of great interest is that while the amount of 
oxygen is constant, the amount of ozone varies greatly. Further, 
these variations in the amount of ozone are found to be closely asso- 
ciated with the weather conditions as seen on the weather maps for 


OD AO Dot Us W 
309 


NS 250 


: Jenuary 700 
. 300 8 Sgune 
| 350 - : Saas 9 August 
300 — Ce 200 
50 s— 250 
ote OG ee 
; 250 : : 250 
300 209 Leet 
250 250 ZA 
300 as Oe oe 
oS 250 December 
gai ge call gt 
latitude Latitude 


Ficurn 4.—Variation of ozone with latitude. The curves depend on the same observa- 
tions as were used for figure 3, but now arranged to show the variation of the ozone 
content with latitude. Note the rapid increase toward polar regions in spring. 


ground level. The total amount of ozone in the atmosphere is very 
small, but since it absorbs the ultraviolet part of sunlight very 
strongly, its effects are of great importance. How very small the 
amount of ozone is may be seen in the following way: If all the 
air in the atmosphere were formed into a layer of uniform density, 


equal to that of surface air, there would be a layer 8 kilometers 
deep. 


THE UPPER ATMOSPHERE—DOBSON 191 


Tf all the oxygen were separated from the other gases and formed 
into a similar layer by itself, it would make a layer about 1,700 
meters deep. If the same were done for the ozone in the atmos- 
phere, we should find a layer only about 3 millimeters deep on the 
average. In other words the ratio of ozone to oxygen is as 3 milli- 
meters to 1,700 meters. This small amount of ozone is not dis- 
tributed uniformly through the atmosphere but is chiefly found at 
great heights. There is a little present in the surface air and the 
proportion of ozone to the other gases increases with height until 
the maximum proportion is found at a height of about 35 kilometers. 

Besides varying with 
the weather conditions, 
the amount of ozone 
in the atmosphere has a 
well-marked seasonal va- 
riation and also varies 
from one part of the 
earth to another in a reg- 
ular manner according to 
the latitude. Both these 
effects are shown in fig- 
ures 3 and 4, from which 
it will be seen that the 
amount of ozone is gen- 


----— (zone 
erally large in the spring Pressure 


and small in the autumn. 


k aigacd : FiegurRE 5.—Ozone in cyclonic areas. The continuous 
This annual variation iIn- lines are drawn to represent a typical cyclonic 

depression of middle latitudes. The thick broken 
eteaS from almost lines show the distribution of ozone: plus values 
nothing near the Equator show that the ozone is above the normal, while 


: ° minus values show that it is below the normal. 
o o o 
to a large range 1m high Note the marked concentration of ozone to the west 


altitudes. Moreover, the and southwest of the center of the depression. 
total amount of ozone 
is, in general, least at the Equator and greatest in high latitudes. 

It is however, the changes in the ozone content of the atmosphere 
with weather conditions that is of the greatest interest. Figures 
5 and 6 show a typical depression and anticyclone, the thin con- 
tinuous lines being isobars. The thick broken lines indicate the 
ozone distribution in these two pressure systems. The figures do 
not relate to any one particular case, but are the result of measure- 
ments on a large number of occasions. Any one particular depres- 
sion or anticyclone may show minor differences, but the same gen- 
eral features are found in nearly every case. 

The amount of ozone in the atmosphere is measured by spectro- 
scopic observations of sunlight, in which the amount of the absorp- 


192 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


tion of the ultraviolet light by the ozone is determined. To obtain 
the results used to construct figures 5 and 6 a number of spectro- 
graphs were made and distributed over Europe, and spectra were 
taken of sunlight on every day that the sun was visible. Naturally, 
on many of the days when, from the meteorological conditions, we 
should most have liked to have measurements, the sun was com- 
pletely hidden by clouds and observations were impossible. More 
recently another instrument has been made by which the amount 
of ozone can be obtained on almost any day with great ease. Un- 
fortunately these new instruments are expensive and it has not yet 
been possible to make a number of them and to have measurements 
made regularly at a num- 
ber of places in Europe 
in order to study in de- 
tail the connection be- 
tween the amount of 
ozone and the weather 
conditions. Such a study 
might reveal the real na- 
ture of this connection 
and be of great value in 
weather forecasting. 
Already we know that 
the amount of ozone is 
very closely associated 


a= =f. : . 
pressure é with many meteorologi- 


cal conditions in the up- 
Ficurp 6.—Ozone in anticyclonic areas. The con- per air. When the trop- 


tinuous and dotted lines are as for figure 5. Note ° 
that the ozone values are low over the whole osphere 1S warm, the 


area. ozone content is usually 
high and vice versa. It 

is also closely connected with the pressure of the air at great heights, 
the amount of ozone being small when the pressure is high. The 
closest connection yet found is between the amount of ozone and the 
density of the air at a height of about 18 kilometers, or, what is 
nearly the same thing, the amount of heat the air has absorbed. 
The reason for these connections is not known at present, but they 
may clearly have an important bearing on meteorology when they 
are thoroughly understood. At present further progress is largely 
dependent on money with which to make the necessary instruments. 


ELECTRICAL CHARACTERISTICS OF THE UPPER ATMOSPHERE 


Results from terrestrial magnetism.—The first suggestion that the 
upper atmosphere was a good conductor of electricity resulted from 
a study of the magnetic field of the earth. Accurate reasurements 


THE UPPER ATMOSPHERE—DOBSON 193 


of the strength and direction of the magnetic force of the earth 
show that this force is not constant but varies both in strength and 
direction. These variations, which are only small and require 
delicate instruments to show them, can be divided into two quite 
distinct classes. In the first class are the regular diurnal and annual 
variations, while in the second are much larger irregular fluctua- 
tions which occur occasionally and which, when very large, are 
known as magnetic storms. While the main permanent magnetism 
of the earth appears to have its origin within the earth, these varia- 
tions are due to currents very high above the earth’s surface. 

One of the simplest magnetic elements to measure is the declina- 
tion, or the angle between the geographical and magnetic north. A 
sensitive compass needle can easily be made by suspending a bar 
magnet by a single thread so that it is quite free to turn in any di- 
rection. If a small mirror be attached to it and a beam of light re- 
flected by the mirror on to a scale, very small movements of the 
magnet can be seen. With such an instrument it can be shown that 
on many days the magnet goes through a regular movement which 
is repeated each day, reaching a maximum in one direction in the 
morning and a maximum in the other direction in the afternoon, 
while it moves but little through the night. Such days are known 
as magnetically quiet days. The total movement of the magnet is 
quite small, being only about a sixth of a degree in summer and 
only about one-twentieth of a degree in winter in England. If other 
characteristics of the earth’s magnetic field are measured, such as 
the total intensity of the field or the angle between its direction and 
a horizontal surface, the same type of effects will be observed. 

On other days there will be pronounced irregular variations of 
the magnetic force which affect the whole world. ‘These latter fluc- 
tuations are much stronger in polar regions than in low latitudes, 
and there is now little doubt that they owe their origin to streams 
of charged particles shot out from the sun. The reason that they 
are felt more in high latitudes is that the magnetic field of the earth 
deflects the charged particles so that they strike the earth only in 
the higher latitudes, where they produce a visible effect, namely, 
the aurora. 

Both the regular and irregular variations of the earth’s magnetic 
field are connected with sun spots. Sun spots are dark markings on 
the surface of the sun which can easily be seen with a small tele- 
scope, while a large spot may occasionally be seen with the eye. The 
exact nature of sun spots is at present unknown, but they indicate 
in some way the activity of the sun, and go through a fairly regu- 
lar cycle of about 11 years length. Thus, in some years there may 
be a large number of spots so that nearly every day one or more 
spots can be seen. Then the number will decrease during the next 


194 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


years, and about 6 years afterwards no spots may be seen for many 
days running. Later still the spots will become more frequent and 
in another 5 years or so will have reached their maximum. Sun 
spots are carried across the sun’s disk as the sun rotates on its axis, 
so that a spot which lasts sufficiently long will reappear every 26 
days, this being the time taken by the equatorial part of the sun 
to rotate, as seen from the earth. 

The connection between the irregular variations of the earth’s 
magnetism and sun spots is seen in the fact that magnetic disturb- 
ances tend to recur at intervals of 26 days. Also the number of 
magnetic disturbances increases during those years when there are 
many sun spots. Certain individual magnetic disturbances seem to 
be associated with definite spots. 

The regular changes in the earth’s magnetic field also show a con- 
nection with sun spots. Thus, the average amplitude of the regular 


1840 7850 7860 1870 7880 
Ficurp 7.—Relation between terrestrial Magnetism and sun spots. 


The continuous line shows the changes in the mean annual sun-spot number, while the 
dotted line shows the mean annual range of the daily swing of the compass needle. The 
latter may be taken to indicate also the conductivity of the upper atmosphere. Note 
that the 11-year period in both cases is marked, but not quite regular. Note also the 
close connection between the two phenomena. 


daily swing of the compass needle for any year is most closely asso- 
ciated with the average number of sun spots for that year. We 
believe that the regular diurnal magnetic variations are connected 
with changes in the conductivity of the upper air and that this 
conductivity is due to the action of the sun’s ultraviolet light on the 
upper air, whereby free electrons are produced. There is a small 
lunar diurnal variation of the earth’s magnetic field which is appar- 
ently due to tides set up by the moon in the upper air. These tides 
should have no effect on the magnetic field unless the air is a con- 
ductor, and it has been shown that during the night when sunlight is 
cut off, the lunar tides have no effect, their presence being seen during 
the hours of daylight. 

Results from radio measurements.—While the study of terrestrial 
magnetism gave the first indication that the upper air was an elec- 
trical conductor, our knowledge has been rapidly extended in recent 


THE UPPER ATMOSPHERE—DOBSON 195 


years by the observations of radio waves. It would be impossible 
to send wireless signals to distant parts of the earth if the wireless 
waves were not bent round to follow the earth’s surface. The fact 
that wireless waves are bent round the earth is due to the existence 
of the electrically conducting region at a great height, which bends 
these radio waves downward in much the same manner that the 
upper warm region bends the sound waves. If a very short signal 
be sent out from a transmitter, a neighboring receiver will receive 
the signal by the direct path along the ground and shortly after- 
ward may receive another signal by means of waves which have 
traveled straight up into the atmosphere and have been reflected 
back again by the upper conducting region. Since we know how 
fast wireless waves travel, it is possible to measure to what height 
they have been before being reflected back again. 

The conductivity of the upper atmosphere is due to the presence 
of free electrons, formed, as we have said, by ultraviolet light from 
the sun. The concentration of these electrons can also be found 
because it requires more electrons to reflect back a short-wave-length 
signal than a long-wave-length signal. If a series of tests are made 
in which the wave length of the signal is gradually reduced, we 
find that at first the height to which the signal goes before reflection, 
slowly increases. This is because it has to go somewhat higher be- 
fore it reaches a place where there are enough electrons to reflect 
it, showing that the concentration of electrons increases with height. 
But as the wave length of the signal is still further reduced, some- 
thing new is found, for, instead of the signal being reflected a little 
higher, it is now reflected at a very much greater height and no 
signals are reflected from the intermediate height. This shows that 
there are two regions where the concentration of electrons is high. 
The first is at a height of about 100 to 150 kilometers and the second 
from 200 to 400 kilometers, according to conditions. 

Such experiments with radio waves show that the number of free 
electrons in the upper atmosphere—and hence its conductivity— 
varies greatly through the day. During the night the lower con- 
ducting layer (100 to 150 kilometers) is largely absent, since the 
electrons quickly attach themselves to air molecules and no more 
are formed. 

About sunrise the number of electrons rapidly increases and re- 
mains large through the day. As would be expected, the number of 
electrons present during the daytime is greater in summer than in 
winter. ‘The daily variations of the number of free electrons in the 
upper conducting region (200 to 400 kilometers) are less regular 
than those of the lower region. During the night the free electrons 
here also attach themselves to air molecules so that their number 

36923—36——14 


196 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


decreases, but more slowly than those lower down because of the 
reduced density of the air. Shortly before sunrise on a winter day 
a radio signal may have to go to a height of 400 kilometers before 
it is reflected back. In such conditions signals of still shorter wave- 
length may not find enough free electrons at any height and con- 
sequently will not be reflected back at all. 

While much of the conductivity of the upper atmosphere is due 
to electrons formed by the sun’s ultraviolet light, the charged par- 
ticles from the sun, which cause magnetic storms, also form free 
electrons. The electrons formed by this means are found largely 
at a height of a little above a hundred kilometers, i. e., at much the 
same level as the lower layer formed by sunlight. In the middle 
of the night when ultraviolet sunlight is cut off, a strongly conduct- 
ing region may suddenly be formed at a height of about 100 kilome- 
ters at times of magnetic disturbance. 

The charged particles which cause magnetic storms travel from 
the sun to the earth much more slowly than light, hence it has been 
possible, at the time of an eclipse, to establish definitely that ultra- 
violet light and not charged particles is responsible for most of the 
conductivity regularly present in both the 100 to 150 kilometer and 
probably also the 200 to 400 kilometer region, in temperate latitudes. 
In polar regions, as might be expected, the effect of charged parti- 
cles is much more marked and much more frequent. 

It has been suggested that the electrical conductivity of the up- 
per atmosphere is dependent to some extent on the weather condi- 
tions at the earth’s surface; also, that thunderstorms play an ap- 
preciable part. We are not yet, however, in a position to state any- 
thing very definite about this, and further observations are needed. 

Aurorae—While observations of the aurorae have, as yet, pro- 
vided little additional information about the state of the upper at- 
mosphere, they must be mentioned since they are clearly due to the 
same stream of charged particles which causes magnetic storms. The 
aurora is very closely related to magnetic storms, bright aurorae 
being usually seen at times of magnetic disturbance. 

From the work of Professor Stérmer in Norway and others, we 
now know accurately the heights of aurorae. The heights are meas- 
ured by taking simultaneous photographs of the aurora from two 
distant stations. It is found that while the tops of the rays may 
go up to great heights—400 kilometers or more—there is a much 
sharper boundary at the bottom, at a height of about 100 kilome- 
ters. It will be remembered that radio measurements showed that 
the conductivity due to charged particles was most marked at just 
about this level. 


THE NATURE OF THE COSMIC RADIATION’ 


By THomAs H. JOHNSON 
Assistant Director of the Bartol Research Foundation of The Franklin Insti- 
tute and Research Associate of the Carnegie Institution of Washington 


[With 4 plates] 
1. HUMAN VALUE OF COSMIC RAY INVESTIGATIONS 


Scientific research projects divide themselves into two classes ac- 
cording to the human value of the results; those from which some 
new device or method develops, augmenting our comforts, conven- 
iences, or abilities, and those resulting in new points of view. 
Values of the first type are evident in every phase of practical living. 
The second are not as generally appreciated, though the values are 
often more genuine. 

It is not always possible at the outset to know into which class a 
particular search for the truth will fall. Oftentimes values of both 
types develop. But in the case of certain astronemical investiga- 
tions, of which the study of cosmic radiation is typical, the philo- 
sophie interest is paramount. The total energy falling upon the 
earth’s surface in the form of cosmic radiation is about one-thou- 
sandth ef star light or one-billionth of sun light. Even if the cos- 
mic ray energy were equal to sun light it would probably be an 
inferior source of power, for the extreme penetrating ability of the 
cosmic radiation prevents its concentration for conversion into use- 
ful forms of work. 


2. METHODS OF INVESTIGATION 


Altheugh the cosmic ray intensity is minute when expressed in 
terms of total energy, single cosmic rays possess more energy than 
any other known form of radiation, and they are easily detected, one 
at atime. If we had suitable nerve responses we would be conscious 
of about 25 cosmic ray shots through seme part of the body each 
second. The rays may be detected in several ways, all of which 

1Lecture, Carnegie Institution of Washington, Washington, D. C., Mar. 12, 1935. Re- 
printed by permission from the Journal of the Franklin Institute, vol. 220, pages 41-67, 


July 1935. 
197 


198 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


depend upon the ability of a cosmic ray to ionize, or split apart, the 
electrical charges of the atoms of matter through which they pass. 

If the air in a chamber is supersaturated with moisture the 
charged atomic fragments, or ions, act as centers of condensation 
for droplets of water and these may be photographed. Plate 1, 
figure 1, shows such a photograph of the ion trail left in the wake 
of a cosmic ray. 

Another simple device for detecting ionizing radiations is the 
Geiger-Mueller counter, represented in figure 1. A metallic cylinder 
is placed in a glass tube, within which the air pressure is reduced 
to about a tenth of the normal atmosphere, and a fine wire is 
stretched along its axis. In operation the cylinder is charged nega- 
tively to 1,500 volts and, if a ray produces as much as a single ion 
within the cylinder, this is swept by the electric field toward the wire. 
As it approaches, the acceleration increases until the energy gained 
between encounters with atoms of the air causes it to ionize these at 
each successive collision. 
Each new ion becomes 
F-- an ionizing agent and an 
avalanche resembling an 
electric spark is started. 
The flow of electric 
charge becomes great 
enough to be detected 
directly or it can be am- 

plified and recorded on 

Figure 1.—Diagrammatie sketch of the Geiger-Mueller 3 . . 
counter and its electrical connections. a suitable electric device. 
When a small counter 
of this kind, 4 centimeters long and 1 centimeter in diameter, is con- 
nected to an amplifier and loudspeaker, about 20 clicks are heard in 
a minute. A radioactive substance placed near the tube can increase 
the count to several hundred a minute, each count indicating the pas- 
sage of one ionizing ray. The radioactive radiations are well known 
and will not come into the discussion further. The subject of interest 
pertains to the 20 rays per minute indicated when all radioactive 

materials are removed. 

These rays have been known to exist for 35 or 40 years but only 
in recent times have differences been recognized between them and 
the radioactive radiations. 

One such difference of particular significance in the investiga- 
tions is the ability of the residual radiation to excite avalanche dis- 
charges in several tubes at once. If two counters are connected 
in an appropriate electrical circuit the simultaneous discharges can 
be automatically selected from the others and recorded separately. 
In the case of two large counters whose individual discharge rates 


10 Ohms 


1500 Volts 


COSMIC RADIATION—JOHNSON 199 


are about 300 a minute, practically no simultaneous discharges occur 
when the tubes are separated, but if one counter tube is placed 
directly above the other such simultaneous discharges or “ coinci- 
dences” are frequent. In the latter position single rays can pass 
through both tubes. The advantage of this arrangement for the 
cosmic ray measurements is that the radioactive radiations have 
no effect. Such rays, if of the penetrating gamma type, excite dis- 
charges only when they convert themselves into the nonpenetrating 
beta type within the counter cylinder. One gamma ray can never 
excite more than a single counter. The coincidence counters thus 
select the cosmic rays for their recording and, furthermore, they 
pick out only the rays which are coming from within a small range 
of directions. 

A third method of investigation consists of measuring the current 
of ions produced directly by the cosmic rays in a vessel filled with 
gas. To increase the effect the vessel is usually filled to a high pres- 
sure and often the current measuring instrument is placed inside. 
Radioactive radiations can be eliminated, if necessary, by lead shields 
on the outside. These instruments, called electroscopes, have been 
used to a large extent in cosmic ray intensity surveys. Though ex- 
tremely accurate and reliable they suffer a disadvantage in not being 
able to determine from what direction the rays are coming. 


3. EVIDENCE THAT RAYS ARE OF COSMIC ORIGIN 


Experiments with all three types of instrument have built up 
convincing proof that the rays are of cosmic origin. By rotating 
the line of two coincidence counters, the intensity of cosmic rays 
can be studied as a function of the direction. This directional dis- 
tribution favors the vertical and very little intensity is incident from 
the horizontal. Most of the cosmic rays are coming down from 
above at steep angles. This type of angular distribution would be 
expected if the rays originate outside the atmosphere, for they would 
be absorbed at the low angles in proportion to their longer paths 
in the air. A source outside the earth was proposed as early as 1913 
by Hess who carried apparatus in a balloon and found the intensity 
increasing with elevation. At a height of 4,300 meters four times 
as many rays strike a square centimeter of surface per second as at 
sea level, and a 300-fold increase over sea-level intensity has been 
found in the stratosphere. All evidence points to the regions be- 
yond the atmosphere as the source of the cosmic radiation. 


4. PROBLEMS FOR INVESTIGATION 


What are these rays which come to us from the depths of cosmic 
space? How, where, and under what conditions are they produced ? 


200 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


What can they tell us of the conditions in other parts of the uni- 
verse, both at their place of origin and in the interstellar spaces 
they traverse? What are the effects of their bombardment on our 
own planet? Many problems present themselves for investigation. 
The field is a new one to science and, like Aladdin, we wonder what 
new mysteries are about to be revealed. One must not be impatient, 
for the revelation is slow and involves many difficulties. Some 
progress, however, has already been made, particularly in regard 
to the problem of the nature of the radiation. 

To understand what cosmic rays are, involves knowledge of their 
electrical charges, their masses, and their energies. These are the 
quantities which play the significant roles in determining the be- 
havior of a ray. Are the rays electrically neutral or are they 
charged? If charged, are they positive or negative, and how much 
charge do they carry? How much inertia do the rays possess and 
do their masses correspond with any known particles? How much 
matter would have to be converted into energy in their production, 
or through what differences of electric potential would the rays 
have to fall to gain their energies? The questions are not only 
interesting in themselves, but their answers will be helpful clues 
in tracing down the places and processes of origination. 


5. METHODS FOR ANALYSIS OF THE COSMIC RADIATION 


With the technique in hand for detecting cosmic rays and measur- 
ing their intensity, methods of analysis have developed. For many 
years after their discovery the cosmic rays were commonly sup- 
posed to be photons, similar in character to the X-rays, the gamma 
rays, or the light rays. Experience had shown that rays of this 
type were more penetrating than corpuscular rays of equal energy 
and it was natural to assume that the extremely penetrating cosmic 
rays were also photons. Even on this assumption it was necessary 
to postulate energies far in excess of anything known, to account 
for their great depths of penetration through matter. 

A more discriminating method for the analysis of radiation than 
that of the studies of penetrations consists in determining the deflec- 
tion when the rays are passed through a magnetic field. If the ray 
carries an electric charge it constitutes an electric current and is 
subject to the same kind of force as is exerted on the wires of the 
armature of an electric motor. Under the action of this force 
charged rays may be bent into circular paths, the direction of curva- 
ture depending upon the sign of charge. Positive rays are curved 
oppositely to negative rays, and neutral rays pass through unde- 
flected. Moreover, the radius of curvature determines the resistance 


COSMIC RADIATION—JOHNSON 201 


of the ray to the magnetic bending force. This property, which we 
may call the magnetic rigidity or, for brevity, the rigidity, depends 
upon the product of mass and velocity of the ray divided by the 
amount of its charge. 

In the case of the cosmic radiation a magnetic analysis has been 
carried out, using the method of cloud-track photography, by Ander- 
son in California, Kunze in Germany, and Blackett in England. A 
typical photograph of Anderson’s is represented in plate 2, figure 1. 
A magnetic field of 12,000 gauss was applied to the cloud chamber 
and the ray was bent into a circular arc. The direction of bending 
shows that the ray is negative. From the radius of curvature it is 
found that the rigidity of this ray corresponds to a particle of 
the mass and charge of the electron and with a velocity such as 
would be gained by a fall through a difference of potential of 18 
million volts. The expression “corresponds to” is used because 
other values of mass, charge, and velocity could give the same rigid- 
ity. That the ray is really an electron may be inferred from the 
fact that the track is a thin one. A proton of greater mass but of 
the same rigidity would have been moving more slowly. With more 
time to act upon the atoms along its path the track would have been 
denser. If the charge were greater, as in the case of the alpha parti- 
cle represented in plate 2, figure 2, the track would have been very 
much denser. From all of the evidence it is possible to distinguish 
between the various kinds of rays, for the number of possibilities is 
small. In fact the different kinds of rays believed to exist are limited 
to those with small integral values (0, 1, 2, etc.) of both mass and 
charge, the respective units being the mass and charge of the proton. 
All of the combinations known to exist are contained in table 1. 
Those designated by (?%) are anticipated but not known to exist. 
The table extends along the diagonal to the lower right, including 
the nuclei of the stable atoms. 


TABLE 1.—T able of elementary particles 


Mass 0 1 2 3 4 
Charge (—) 

SS ee ere A Em 2 ae Negatron | Negative 
(negative | Proton? 
electron) 

(eR Ree Ae ET EE © PEE OA eA Photon Neutron Double 

Neutron? 

Neutrino? 

Se eee oe ew Positron Proton Deuteron | Triplon =_ 
(positive (1H nu- (?H nu- GH nu- 
electron) cleus) cleus) cleus) 

Soe eae Pe Ae et Beatle oy Mee, Ede eee pees Light Alpha 
alpha particle 
particle (4He nue 
(Henu- | cleus) 
cleus) 


CCC EE EO $$ 


202 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Because of the small number of entries in the table and because of 
the recognizable differences in the way rays of different charge and 
mass act upon matter, it is usually easy, except in the case of ex- 
tremely high energy rays of equal charge, to identify the ray by its 
track. Practically all of the rays listed have been found associated 
with the cosmic radiation. 

We know, however, that many of the rays found in the cloud 
chamber are secondaries produced from surrounding matter and 
there is difficulty in distinguishing these from the primary cosmic 
rays. Occasionally clusters of rays or “showers”, such as repre- 
sented in plate 1, figure 2, are found, apparently emanating from one 
or two points in surrounding material, as though they had been 
generated there by the impact of some very energetic primary ray. 
Even if the point of origin of a shower should chance to occur within 
the gas of the chamber and the ray generating it could be photo- 
graphed, there would still be uncertainty whether it were not just an- 
other secondary from some previous shower. The presence of matter 
between us and the source of the radiation confuses the problem, and 
if we are to know what the primary cosmic rays are, we must have 
an apparatus which operates in the space beyond the atmosphere. 

The proposal seems fantastic, but actually the earth’s magnetic 
field constitutes such an apparatus. The confusion of secondaries 
begins at the top of the atmosphere, only a few miles above the sur- 
face, but the bending force of the magnetic field begins to curve the 
primary rays at distances of thousands of miles. In determining the 
amount of such curvature, for calculation of rigidities, it is impossi- 
ble to trace out the paths of single rays as was done in the cloud 
chamber analysis, for observations are limited to those which can 
be made on the earth’s surface and within the atmosphere. But it 
will appear that this is no handicap, for the variations of intensity 
with changes of direction and position on the earth’s surface give the 
equivalent information for the determination of the rigidity, and 
absorption in the atmosphere contributes the supplementary evidence, 
analogous to the track densities, for further identification of the 
type of ray. The two methods are equivalent, except that the earth- 
magnetic analysis concerns the primary rays alone. 


6. SIMPLIFIED ANALOGY OF THE EARTH-MAGNETIC ANALYSIS 


The relations between the rigidities of the primary rays and the 
measured intensities are complex and mathematical, but without 
going into the rigorous theory all of the essential points can be made 
clear by a simple analogy. The complexity of the real problem is 
due entirely to the peculiar form of the earth’s field and if we con- 
sider an imaginary field of uniform extent and intensity the prob- 


lem is simple indeed. 


COSMIC RADIATION—JOHNSON 203 


Referring to figure 2, we assume that an observer can make meas- 
urements of intensity from any direction and at any point in the 
lower plane. This plane is analogous to the earth’s surface, and it 
prevents radiation coming up from below. Between the upper and 
lower planes a magnetic field has the direction of the arrow and is 
uniform over any section parallel to the front of the diagram, but is 
of increasing strength toward the back. The line O O”’ is analogous 
to a magnetic meridian line in the northern hemisphere of the earth 
with the point O’’ near the Equator where the earth’s horizontal field 
is strongest. Thus the right side of the diagram corresponds to the 
west. 


FicGurp 2.—Intuitive illustration of the essential elements in the earth magnetic analysis 
of the cosmic radiation. 


The essential point in the analysis is the realization that the path 
of a ray in the region of the magnetic field is a circle, the radius of 
which depends upon the strength of the field and the rigidity of the 
ray. Rays are incident uniformly from all angles in the upper half 
of space but the observed distribution in the lower plane is altered. 
Positive rays of a particular rigidity, corresponding to the curva- 
ture of the paths represented, and incident from the left horizon 
reach the station O from some angle @, or from the more inclined 
angle 6’ at O’ where the stronger field produces more curvature. 
At the point O’’, where the field is still stronger, the same radiation 
may not be able to reach the observer at all. Referring again to 
station O, the angular region to the left of 6 can be illuminated only 
by rays of higher rigidity than those which cut off at angle 4, 


204 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


whereas these rays uniformly illuminate the region to the right. If 
no rays, other than those of the curvatures represented in the 
diagram, were present in the primary radiation, the observer would 
find a sharp cut-off in the intensity at 6. By measuring this cut-off 
angle, knowing the strength and extent of the field, the sign of 
charge and the rigidity can be determined. If rays are bent in the 
opposite direction, as indicated by the dotted orbit, the region of 
low intensity lies on the opposite side of the vertical. Thus, both 
the rigidity and the sign of charge are determined by the angle 8. 

In case the radiation were not of a single rigidity, but had some 
kind of a distribution over all values, the sharp cut-off would be 
replaced by a gradually changing intensity. The difference between 
intensities at two angles would be due to rays whose rigidities lie 
within the range between the two cut-off values. If positives and 
negatives were both present, the intensity difference at two angles 
would be equal to the excess in the number of charged rays of one 
sign over the other. 

Thus the angular measurements determine the distribution with 
respect to rigidity of the excess of one sign of charged ray over the 
other. To resolve the distribution of each sign separately angular 
intensity measurements must be combined with results obtained by 
varying the position along the meridian line O O’’. In the case of 
a single value of the rigidity, the intensity from any direction such 
as 6’ would remain uniform, as the observer moves along the merid- 
ian, until the position O’ is reached where the intensity from this 
direction would fall suddenly to zero. In the case of a distribu- 
tion this sudden drop would also be replaced by a gradually chang- 
ing intensity and, in this case, the difference between intensities in 
any two positions is due to rays of both signs of charge, in propor- 
tion to their numbers, in the ranges of rigidity determined by the 
cut-off angle 6’ at the two positions. Thus, this type of measure- 
ment determines the distribution with respect to rigidity of the sum 
of the positive and negative rays together. Combining this result 
with the distribution of the excess of positives over negatives, we 
can discover the distribution of each component separately. 

A change of intensity with position along the meridian can also 
be recorded by an apparatus which measures intensities from all 
directions, for example the electroscope, but the analysis of the dis- 
tribution from this type of measurement is not as straightforward 
for the reason that the gradual change of intensity due to the chang- 
ing angle of cut-off cannot be distinguished from the changing in- 
tensity which takes place at each angle due to the distribution 
of rigidities. 


COSMIC RADIATION—-JOHNSON 205 


7. THE PROBLEM OF THE REAL EARTH 


The only difference between the simplified problem and the prob- 
lem of the real earth is in regard to the numerical relationship 
between any value of the rigidity and the angle at which it cuts off, 
for any latitude. In the case of the real earth St¢rmer, and Lemaitre 
and Vallarta have determined these angles by solution of the mathe- 
matical equations of motion of the rays in the field of the magnetic 
doublet of the earth. The results 
are illustrated in figure 3. The 
areas of the sky, represented in 
white, give the angles from which 
rays of the rigidity of a 10-billion- 
volt positive electron can reach the 
observer at the various latitudes. 
On the Equator the bending force 
of the field is greatest, and rays of 
this rigidity almost miss the earth 
completely. There is but a small 
white area on the western horizon. 
Mo reach’ the earth from‘alldirec- 5000) 3 poous of the” wks, ‘repre. 
tions at the Equator, rays must sented in white, illuminated by rays of 
have the rigidity of a 60-billion- Try Pane Var aman duos) ate 
volt electron. In northern Mexico, 
on the other hand, the 10-billion-volt electrons can come in from all 
directions. Positive rays of low rigidity appear first on the western 
horizon, negatives on the eastern horizon. 


8. THE EXPERIMENTAL MEASUREMENTS OF LATITUDE-INTENSITY 
VARIATIONS 


The first indication of an effect of the earth’s magnetic field in 
altering the cosmic ray intensity distribution was found in 1928 by 
Clay. From his measurements the intensity seemed to be lower in 
equatorial latitudes. Compton’s world survey begun in 1932, has 
placed the result on a firm experimental basis and has shown that 
the intensity depends upon geomagnetic and not upon geographic 
latitude. The lower intensity at the Equator is thus caused by the 
magnetic field and not by some other systematically varying quan- 
tity such as temperature. Very careful studies of these variations 
by Millikan and his associates have resulted in accurate data, par- 
ticularly in the case of automatically recorded sea-level measure- 
ments. In all three cases electroscopes have been used, and the re- 
sults pertain to the average of the effects from all directions. Some 
directionally selective measurements, ideally more favorable for the 
analysis, have been made with coincidence counters mounted on 
shipboard by Auger and Leprince-Ringuet. 


206 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Compton’s results are typical, and are particularly significant 
because of the wide range of latitudes, elevations, and longitudes 
covered. Higher intensities occur at high latitudes and the increase 
with respect to the value at the Equator is 14 percent at sea level, 22 
percent at an elevation of 2,200 meters, and 33 percent at 4,300 


meters. 
9. THE SURVEY OF ANGULAR DISTRIBUTIONS 


Following the discovery by the writer and J. C. Street of an east- 
west asymmetry of the coincidences of alined counters on Mount 
Washington, N. H., in 1932, a survey for the study of this effect was 
planned with the cooperation of the Carnegie Institution of Wash- 
ington and was begun early in 1933. Up to the present time the 
survey includes measurements at the stations indicated on the map 
of figure 4. Confirmatory results of significance have also been 
reported by numerous other observers. 

The magnetic directional effect is manifest as an asymmetry, or a 
difference of intensities from eastern and western azimuths at the 
same zenith angle. The magnitude of the asymmetry is conveniently 
expressed as the ratio of the intensity difference to the average in- 
tensity for the two directions. In this form it is equal to the in- 
tensity of the unbalanced charged component in the range of rigidi- 
ties determined by the cut-off values for the two angles, this intensity 
being expressed as the fraction due to this component of the total 
number of coincidence counts. Only the relative intensities are in- 
volved, and the measurements do not have to rely upon the calibra- 
tion of the sensitivity of the instrument. Changes of sensitivity dur- 
ing a measurement, however, must be avoided. Because of the rapid 
change of intensity with zenith angle, caused by atmospheric absorp- 
tion, this angle must be kept accurately the same in both azimuths. 
With a system of frequent rotations automatically controlled by 
clock works, about an accurately placed vertical axis, and with read- 
ings taken automatically, the problem of keeping a constant sensi- 
tivity under field conditions has been largely overcome and intensity 
ratios have been determined with an accuracy approaching the theo- 
retical limit of the statistical fluctuations in the total number of rays 
counted. In many instances intensity differences of the order of 10 
percent have been measured with an error of less than 1 percent. 
The apparatus which has been developed for this purpose is repre- 
sented in plate 3. 

The results of the asymmetry survey are combined in figure 5. 
For each station the asymmetry, defined as above, is plotted against 
zenith angle. The ordinates are thus equal to the unbalanced charged 
component in the range of rigidities determined by the correspond- 


COSMIC RADIATION—JOHNSON 207 


ing zenith angles. From right to left the stations are arranged in 
the order of increasing elevation and the rows are in the order of 
the geomagnetic latitudes. In every case western intensities are 
greater, though the amount of the excess varies widely with zenith 


© 4300 |METERS 


angles, latitude, and elevation. Progressing toward the Equator, 
there is a definite trend toward higher asymmetries, and at each 
latitude asymmetries are greater at the higher elevations. At each 
station the asymmetry increases with zenith angle to a maximum 
value at 50° or 60° and thence falls off again toward the hori- 


208 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


zon. Though the accuracies and the range of stations are not all 
that are desired, the data present good indications of the general 
characteristics and the magnitudes of the effect. 


10. ANALYSIS OF THE COSMIC RADIATION 


With the results of the directional measurements and those of 
the variations of total intensity with latitude, together with the cal- 
culations of the cut-off angles, we are in position to make a tentative 
analysis of the primary cosmic radiation. The method of attack 
and the results to be achieved are clearly before us, but the course 
is not without its pitfalls. 


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Ficurn 5.—Combined results of the measurements of east-west asymmetries. Ratio of 
east-west intensity difference to average intensity plotted against zenith angle. Sta- 
tions arranged in order of their latitudes and elevations. 


Stgrmer’s solution of the cut-off angles is simple in form and 
ready for application, but it fails to distinguish between rays which 
are coming from infinite distances where sources of radiation exist 
and those which might have described closed orbits in the vicinity 
of the earth had there been sources of radiation near at hand. The 
latter orbits are vacant and must be left out of account. Lemaitre 
and Vallarta have studied these orbits and find that they would 
illuminate a range of angles just inside the cut-off limit as it is 
given by the simple Stgrmer theory. It is also shown that within this 
range of angles no infinite orbits reach the observer, and hence it 
is only necessary to make a correction to the cut-off angle in taking 
account of the vacant closed orbits. With this refinement of the 
theory, the angles illuminated by rays of a particular rigidity cover 


COSMIC RADIATION—JOHNSON 209 


wider areas of the sky on the equatorial side of the east-west vertical 
plane, and a north-south asymmetry would be expected. Measure- 
ments in Mexico, represented in figure 6, show greater intensities 
from the south and confirm this detail of the calculation. 

On the basis of Lemaitre and Vallarta’s first estimates of the true 
cut-off angles of infinite orbits, the experimental results led to the 
tentative conclusion that the primary radiation was practically all 
positive, and nearly uniformly distributed with respect to rigidity. 
Recent investigations by the same authors, in collaboration with 
Bouchaert have resulted in more accurate determinations of the true 
cut-off angles in the range of latitudes from the Equator to 20°, 
but the theoretical work is not yet complete for higher latitudes. 

Without further consideration it is 
clear from the western excess of intensity 
that much of the charged component con- 
sists of positive rays unbalanced by neg- 
atives. Analysis of the asymmetry meas- 
urements in the equatorial zone shows 
that 14.2 percent of the intensity at 4,300 2% 
meters is due to positives unbalanced by 
negatives in the range of rigidities below 
that which cuts off in the east. At the 
same elevation in Panama 16.9 percent 
of the intensity is due to radiation below 


COPILCO 4 
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ELEY [4000 ft 


the same limit of rigidity and similarly a 
defined. The higher value for Panama oo 
is due to the slight eastward shift of cut- ax 9S Sei" he 378" 207" 


Od so ° ZENITH ANGLE 
off angles for each rigidity and the in- 
Ficurn 6.—North-south asymmetry 


clusion of lower rigidities from the west. of the cosmic ray intensity in 
The difference in these figures (16.9% — Mexico, latitude 29°, elevation 
14.2% =2.7%) is the change of the total TEL aor) 

intensity in this range of latitude which can be accounted for by 
unbalanced positive radiation. If the figure should agree with the 
measured change of intensity we could conclude that all of the latitude 
effect in this range can be accounted for by positives and that there 
is no negative component in this range of rigidity, contributing to the 
intensity at that elevation. Because of the absence of high mountains 
in Panama, accurate measurements of the latitude effect are lacking 
but the airplane measurements of Bowen, Millikan, and Neher show 
that the change of intensity in this range is small and probably does 
not exceed 4 or 5 percent. If the latter value is chosen as an upper 
limit, the difference between 5 percent and the 2.7 percent accounted 
for by unbalanced positives, must be accounted for by a balanced 
component of positives and negatives in equal numbers. Thus the 


210 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


total negative component would have an upper limit of one-quarter 
of the total charged component. At sea level the excellent measure- 
ments of Millikan and Neher conspire toward a more conclusive 
analysis. At the equator the asymmetry shows that 10.4 percent of 
the sea-level intensity is from unbalanced positives. In Panama the 
figure is 12 percent. The difference, 1.6 percent, is the amount of 
latitude effect which can be accounted for by the unbalanced positives. 
This agrees with the average of Millikan and Neher’s measurements 
of the total latitude effect, and it is concluded that negatives in the 
corresponding range of rigidity make no appreciable contribution to 
the sea-level intensity. This estimate is based upon the asymmetry 
measurements in Panama. If those at the Equator had been used 
instead, a larger latitude effect than that found would have been 
expected. Theory indicates no important differences between the 
asymmetries at the Equator and in Panama, and the latter measure- 
ments appear to be the more reliable on the basis of the probable 
errors. 

For the analysis of rays of lower rigidity the measurements in 
higher latitudes are ready and awaiting the completion of the accu- 
rate theoretical calculations of cut-off angles. Higher rigidities, on 
the other hand, can never be analyzed by this method, as the earth’s 
field is too weak. 

Lower limits for the intensity in high latitudes of the entire 
charged component, positives and negatives combined, can be given 
without further delay. For this purpose it is only necessary to add 
the unbalanced positive component at the Equator to the measured 
values of the latitude effect. Expressed in terms of the total inten- 
sity at the Equator, at least 16 percent of the sea-level intensity and 
30 percent of the intensity at 4,300 meters in latitudes above 50° is 
due to charged primaries. These figures represent lower limits from 
two points of view. In the first place the correction for possible 
negatives at the equator has not been taken into account, though it 
has been shown this is not necessary at sea level. The more im- 
portant point is that much of the unanalyzed intensity at the Equa- 
tor may also be due to charged rays of higher rigidities. It might 
well be argued from similarities in the absorption that the unre- 
solved equatorial radiation is of the same character as the radiation 
known to be charged, but this type of reasoning is obviously less 
reliable than that used in the above analysis. 

Now comes the question of what these unbalanced positive rays 
are: Table 1 suggests three possibilities. The first is the positive 
electron, a particle of very nearly zero mass and unit positive charge. 
Rays of this type are often produced when high energy gamma rays 
collide with atomic nuclei, and they are also generated in certain 


COSMIC RADIATION—JOHNSON 211 


types of spontaneous nuclear disintegrations. Though considerably 
more rare than their negative counterpart, they could possibly be 
present in the cosmic radiation. The second possibility is the posi- 
tive proton, the nucleus of the more common form of hydrogen. 
These occur in large numbers on stars and in the interstellar regions 
and are very likely candidates. This possibility would also include 
the mass 2 and the mass 3 hydrogen nuclei which occur in certain 
small proportions with the ordinary hydrogen. The third possi- 
bility is the alpha particle or helium nucleus, which also occurs abun- 
dantly throughout the universe. Other heavier nuclei might also 
be included in this class. Their multiple charges and the consequent 
rapid loss of energy in traversing matter would seem to put these 
particles out of the picture as far as the sea-level intensity is con- 
cerned, though they might well contribute to the intensity in the 
upper atmosphere. In fact alpha particles have been proposed by 
Compton as an explanation of some of the radiation observed in the 
stratosphere. At sea level and up to the tops of mountains, the 
principle candidates for the cosmic rays are thus the proton and 
the positive electron. 

If the rays are protons, the component observed at the Equator in 
the asymmetrical band at 30° from the vertical, lies in the range of 
energies from 11 to 20 billion volts. If the rays are positive electrons 
the energies extend from 12 to 21 billion volts. The range is outside 
the limits of previous experience, and it is necessary to rely upon the 
predictions of untested theories for the final identification of these 
rays from their absorption characteristics. The test is difficult be- 
cause the theories show on quite general grounds that rays of equal 
charges but different masses behave nearly alike if the energy is 
large compared with the energy equivalent of the masses. The mass 
of the proton is equivalent to 1 billion electron volts and the lighter 
electron is equivalent to a half million electron volts. Both are 
small compared with cosmic ray energies. Theoretically the two 
kinds of rays should be absorbed by matter nearly alike. For the 
process of the excitation of photon rays by collisions with nuclel, 
however, the difference in mass may be significant, and there are 
reasons for expecting the electron with its smaller mass to excite 
photons more readily than the proton. To the extent that radiation 
losses are important ways for rays to lose energy, the protons should 
be the more penetrating. 

At this stage in the analysis it would be extremely helpful to find 
a method of selecting one type of ray to the exclusion of the other, 
and if photon excitation is a unique characteristic of electron rays, 
an arrangement of apparatus, sensitive only to photons, would ac- 
complish the desired end. Recent studies of the shower phenomena, 

36923—36——15 


Pi ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


illustrated in plate 1, figure 2, seem to present such a possibility. 
Showers may be recorded to the exclusion of all other rays if use is 
made of their divergence in angle from the point of origin. Three 
counters arranged in a triangle and surmounted by a block of lead 
record coincidences only when a shower is produced in the lead. 
Several investigations have shown that the shower particles are gen- 
erated in the lead by impact of a specific form of radiation, probably 
photons. If these photons are generated by primary electrons, as the 
theory indicates, and not by protons, the showers can be used as a 
measure of the electrons to the exclusion of the protons. During the 
directional distribution survey, showers were also studied in relation 
to changes of latitude, elevation, and direction, and the results are 
suggestive of electron primaries. It was found that the showers 
increase more rapidly with elevation 
than the total radiation, though in this 
respect they cannot be definitely distin- 
guished from the unbalanced positive 
component which gives rise to the asym- 
metry. In fact the results at first sug- 
gested that the showers were closely 
associated with the positive component. 
Measurements in Mexico of the depend- 
ence of shower intensities on azimuth 
have now shown that this is not the case. 
Ficure 7.—Arrangement of three Using an arrangement of counters illus- 

aie BeBe ee Mok a, _ trated in figure 7, shower intensities from 

due to primary rays from par- the east and west were compared and the 

Ta aie results showed almost no asymmetry. 
Latitude intensity variations of this component on the other hand have 
proved that the showers are caused by electrically charged primaries. 
There is only one conclusion. The primaries which produce the 
showers consist of equal numbers of positive and negative rays. Until 
there is more evidence for the existence of the negative proton, and 
in view of the ability of these rays to produce the shower-generating 
photons, we must regard this component of the primary radiation as 
an electron component. The equality in number of the positives and 
negatives is also agreeable to this view for the cloud-chamber experi- 
ments of Anderson have shown that electrons often appear as paired 
positives and negatives. In spite of the evidence that much of the 
primary charged component is positive, there is still place to fit in 
a small balanced component of positives and negatives, particularly 
at high elevations. It may also be true that as far as the effects 
recorded by aligned counters is concerned the electron component is 
quite insignificant. 


COSMIC RADIATION—JOHNSON 213 


Having identified a component which is probably electronic and 
whose properties are different from those of the unbalanced positive 
component, the only remaining possibility for the latter is the pro- 
ton, the nucleus of the hydrogen atom. 


11. THE SOURCE OF THE COSMIC RADIATION 


The existence of an intense unbalanced positive component sug- 
gests that we look for electric fields as the source of cosmic-ray 
energies. Accustomed as we are to electrical displays during thun- 
derstorms and volcanic eruptions, it is easy to imagine similar proc- 
esses taking place on stars. Negatively charged clouds of dust or 
condensed vapor, high above the surface of a star could draw out 
positively charged atomic ions from its surface or upper atmosphere 
and project them, like the beam of a cathode-ray tube, into cosmic 
space. Nuclei of helium and hydrogen atoms, the principal con- 
stituents of the stellar atmosphere, would thus become the cosmic 
rays. During their passage through interstellar space these rays 
would encounter small quantities of matter and secondary rays 
would be generated. The secondaries could constitute the positive 
and negative electron component of what appears to us to be the 
primary radiation. If the picture is correct, one would also expect 
to find photons which would have been generated in a similar way 
in the interstellar spaces. 

The secondary hypothesis of the origin of the balanced electron 
component raises the possibility of using its intensity as a measure 
of the total amount of matter in the space which the rays have trav- 
ersed from their point of origin. Experience regarding generation 
of secondary cosmic rays requires the choice of 10 grams per cm? 
as a lower limit for the amount of matter within which an observable 
electron component could be produced. This lower limit of mat- 
ter can be translated into a lower limit of distance from the source 
for the change in color of distant stars gives a means of estimating 
the density of matter in interstellar space. Using Becker’s esti- 
mate of 0.4 10-** grams per ce, it results that distances of the order 
of from 1 to 10 billion light-years would have to be traversed before 
the requisite amount of material could be encountered. It is inter- 
esting that these figures are of the order of the diameter of the ex- 
panding universe as deduced from the red shift and are consistent 
with the idea that our principal sources of cosmic radiation are the 
extragalactic nebulae which are uniformly distributed throughout 
space. 

Such speculations would lead to the conclusion that cosmic rays 
are of the same intensity throughout intergalactic space as here 
within our galaxy, and if this is the case, the total energy in the 


214 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


universe in this form exceeds that of starlight. Thus, any theory 
of the universe which leaves cosmic radiation out of consideration 
may fail to include an important element. 


REFERENCES 


Historical. 
Coruin, AXEL 

1934. Introductory chapter of cosmie ultra-radiation in northern 

Sweden. Ann. Obs. Lund, no, 4. 
Cloud chamber analysis of cosmic radiation. 
Anperson, ©. D. 

1932. Energies of cosmic ray particles. Phys. Rev., vol. 41, p. 405. 

1983. Cosmic ray positive and negative electrons. Phys. Rev., vol. 
44, p. 406. 

Anperson, C. D., and NepprerMEYeERr, 8. H. 

1934. Fundamental processes in the absorption of cosmic ray elec- 

trons and protons. Int. Conf. Phys., London, October. 
Measurements of latitude-intensity Variations. 
Compton, A. H. 

1933. A geographic study of the cosmic rays. Phys. Rey., vol. 43, 
p. 387. 

Bowen, I. S., MirzrKan, R. A., and NErHeEr, H. V. 

19384. High altitude survey of the effect of latitude upon cosmie ray 
intensity and an attempt at a general interpretation of 
cosmie ray phenomena. Phys. Rev., vol. 46, p. G41. 

MiIniurKAN, Roserr A., and NEHER, H. V. 

1935. Equatorial longitude effect in cosmic rays. Phys. Rev., vol. 
47, p. 205. 

Measurements of the asymmetry of cosmic ray intensity. 
JOHNSON, T. H. 

1934. Coincidence counter studies of the corpuscular component of 
the eosmie radiation. Phys. Rev., vol. 45, p. 569. 

1935. Evidence for a positron-negatron component of the primary 
cosmie radiation. Phys. Rev., vol. 47, p. 318. 

1985. North-south asymmetry of the cosmic radiation in Mexico. 
Phys. Rev., vol. 47, p. 91. 

Theory of the effeet of the earth magnetic field upon the distribution of cosmic 
ray intensity. 
STSORMER, CARL 

1934. On the trajectories of electric particles in the field of a mag- 
netic dipole with applications to the theory of cosmic radia- 
tion. Oslo Univ. Obs., publ. no. 10. 

LeMAITRE, G., and VALLARTA, M. S. 
1933. On Compton's latitude effect. Phys. Rev., vol. 48, p. 87. 


S.nithsonian Report, 1935.— Johnson 


PLATE 1 


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1, The cloud track of a cosmic ray, consisting of a row of water droplets condensed upon air molecules 
which have been ionized by the ray. 


2. A cosmic ray “shower” photographed by Blackett and Occhialini. 


The existence of secondary rays 


such as these invalidate the use of the cloud chamber as a means of analyzing the primary cosmic rays. 


(Proceedings of the Royal Society.) 


Smithsonian Report, 1935.—Johnson PLATE 2 


Physical Review. 


1. Cloud photograph by Anderson of an 18-million volt negative electron curved by a magnetic field of 
12,000 gauss. The direction and amount of the curvature and the density of the track are data useful 
in determining what the ray is. 


Physical Review. 


2. Track of an alpha particle by Anderson illustrating the greater density resulting from the higher charge 
and mass as compared with that of the electron of plate 2, figure 1. 


Smithsonian Report, 1935.—Johnson PLATE 3 


Counters and amplifiers. 


2. Multidirectional cosmic ray meter for simultaneously comparing intensities in seven zenith angles and 
two azimuths. The operation is automatic with readings taken photographically on 16-millimeter 
cinema film. 


Smithsonian Report, 1935.—Johnson PLATE 4 


1. Cosmic ray station on the summit of Nevado de Toluca in Mexico, elevation 4,300 meters. 


2. Cosmic ray station on the summit of Mount Evans in Colorado, elevation 4,300 meters. 


WHAT IS ELECTRICITY ?*’ 


By Paut R. HEYL 
National Bureau of Standards 


I trust that there is no one so optimistic as to suppose that because 
I have asked this question I am going to answer it, nor so pessimistic 
as to fear that because I have asked a question which I cannot answer 
I can offer you nothing but platitudes. I believe it possible in this 
case to avoid both Scylla and Charybdis. 

This question, said the late Prof. John Trowbridge,’ of Harvard 
University, is often asked as though it were capable of a short and 
lucid answer which might be understood by any person of liberal 
education. Many answers have been given, but it is interesting to 
note that the more definite and confident the answer the older it is, 
and that as we ascend the ladder of time toward the present day such 
answers as we encounter are less definite and more cautious. 

It will be interesting to review, perhaps rather briefly, the ideas 
which have been held at various times as to the nature of electricity, 
and then, looking over the wealth of physical discovery which has 
been amassed in the past 40 years, to endeavor to select from it such 
facts as may be of importance in guiding and controlling future 
speculation on this question; for though such speculation has been at 
a minimum, if not a standstill, during the twentieth century, it will 
doubtless revive again. Speculation, or, as it has been otherwise 
termed, “apt conjecture, followed by careful verification ”, has been 
behind much of the advance of science. Such was the method of 
Faraday and of Darwin. The conjectures of the ancients, having lit- 
tle in the way of observed fact to guide them, might range far and 
wide, and had small heuristic value, but with the growth of experi- 
ment the range of conjecture has continually narrowed and its value 
as an aid to further progress has steadily increased. 

The beginning of our knowledge of electricity is lost in the mists 
of antiquity. What we can recover of it is excellently told by Park 

1 Publication approved by the Director of the National Bureau of Standards of the 
United States Department of Commerce. Reprinted by permission from Journal of the 
Washington Academy of Sciences, vol. 25, no. 5, May 15, 1935. 

2This is the fifth of the Joseph Henry Lectures of the Philosophical Society presented 


March 30, 1935, in honor of the first president of the Philosophical Society. 
8 Trowbridge, What is electricity? Kegan Paul, Trench, Trubner & Co., London, 1897. 


215 


216 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Benjamin in his history, The Intellectual Rise in Electricity.* It is 
customary to credit Thales (600 B. C.) with the first observation of 
the attractive power of rubbed amber, but Benjamin shows that am- 
ber was widely known among the ancients for centuries before 
Thales. Beads of amber have been found in the ancient lake dwell- 
ings of Europe, in the royal tombs at Mycenae (2000 B. C), and 
throughout northern Italy. The identity in chemical composition of 
these relics with the amber of the Baltic Sea coast is significant of 
the esteem in which this substance was held and of the distance over 
which it was thought worth while to bring it. The golden glow of 
the polished beads suggested the beaming sun, called by Homer 
jdextwp, Which doubtless gave rise to the Greek name for amber, 
NAEKT pov. 

It is incredible, as Benjamin points out, that this widespread ac- 
quaintance of the ancients with amber should have existed so long 
without its electrical property being often noticed. It is probable that 
Thales but shared the knowledge of his time in this respect, for his 
acquaintance with the things of Nature in general was such as to 
enable him to make the first recorded prediction of an eclipse of the 
sun. Thales left no writings of his own, and all we know of him we 
have learned from those who lived several centuries later. 

It appears from these authorities that the ancients regarded elec- 
tricity as a soul or spirit resident in an otherwise lifeless substance. 
This was in harmony with the prevailing thought of the times, which 
regarded all motion as evidence of life. The air was inanimate, but 
the wind was the breath of Aeolus; the waves of the sea were excited 
by the wrathful strokes of Neptune’s trident; the lightning was the 
thunderbolt of Zeus. This animistic explanation of the nature of 
electricity was simple and definite enough to be understood by any- 
one and lasted for several millenniums—in fact until the revival of 
learning and the growth of experimental science supplied material 
upon which to base a rival theory. 

We are helped to realize this animistic point of view when we read 
in a translator’s footnote to Gilbert’s book on the magnet ® that a 
certain ancient physician recommended the administration of doses 
of powdered lodestone in cases of estrangement between husbands 
and wives. Given the premises of the time, such a conclusion was 
perfectly logical. It was obvious that the patients exhibited a defi- 
ciency of a certain spiritual element which was found in the lode- 
stone, and the administration of that medicine followed as naturally 
as a modern prescription of cod-liver oil because of its vitamin 
content. 


4Longmans, Green & Co., London, 1895. 
5 Translation by P. Fleury Mottelay, p. 56, John Wiley & Sons, New York, 1898. 


WHAT IS ELECTRICITY?—HEYL 217 


It was the middle of the sixteenth century before the next answer 
on record was given to the question: What is electricity? ‘This an- 
swer came from Cardan,* whose name is familiar to mathematicians 
(perhaps more so than it deserves to be). Cardan was the originator 
of the fluid theory of electricity which held the stage in one form or 
another for over 8 centuries, and survives today in popular parlance 
in the term “the electric fluid”, or, still more colloquially, “the 
juice.” Cardan passed from the spiritual to the material in his ex- 
planation, which was that amber “has a fatty and glutinous humor 
which, being emitted, the dry object desiring to absorb it is moved 
towards its source, like fire to its pasture; and since the amber is 
strongly rubbed, it draws the more because of its heat.” 7 

In this last sentence we see the influence of Cardan’s profession. 
He was, among other things, a physician, and was accustomed to 
warm the cupping glass in drawing blood from his patients. The 
laws of pneumatics were not yet understood at that time, and it was 
generally supposed that the cupping glass acted because of its heat. 

The fact that this “fatty and glutinous humor” was intangible 
and invisible seems to have caused Cardan no embarrassment. We 
may perhaps view this the more charitably when we think of the 
contradictory attributes that later scientists have found it conven- 
ient to assign to the luminiferous ether. 

The year 1551, in which Cardan published this theory, may be 
taken as marking the end of the first era, in which electricity was 
regarded as a soul or spirit. Its beginning goes back beyond re- 
corded history. 

The concept of electricity as a material substance contained in 
certain bodies known as electrics was strengthened by the experi- 
ments of Gilbert (1600), who showed that many substances besides 
amber were to be included in this class, but the full development of 
the fluid theory of electricity did not come until the middle of the 
eighteenth century. In the meantime, von Guericke (1672) had in- 
vented his sulphur globe electrical machine, which made electrical 
experimentation easy on a large scale. With the facilities thus 
placed at his disposal he discovered electrical conduction and electro- 
static repulsion, the latter destined to be a phenomenon of prime 
importance in later speculation on the nature of electricity. 

In the eighteenth century development of the fluid theory two 
names are prominent, those of Du Fay and Franklin, each typifying 
a separate trend in theory. 

Du Fay’s experiments (1733 and later) chronologically preceded 
those of Franklin. His most important discovery was that glass 


6 Cardan, De subtilitate, lib. 21, Paris, 1551. 
7 Benjamin, Park, op. cit., p. 248. 


218 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


when rubbed behaved in one respect quite differently from amber; a 
bit of gold leaf excited by contact with the glass tube is then repelled 
by the glass but attracted by excited amber. “And this”, said Du 
Fay, “leads me to conclude that there are perhaps two different 
electricities.” These he distinguished accordingly as vitreous and 
resinous, and laid down the law that like electricities repel each 
other and unlike attract. 

To explain the same phenomenon Franklin (1747) postulated a 
single electric fluid of which all bodies were normally full. If a body 
acquired more than this normal amount he called it plus, or posi- 
tively electrified, and if its charge was less than normal, minus, or 
negatively electrified. 

Franklin’s hypothesis had simplicity in its favor; it required one 
less assumption than that of Du Fay. In this respect it obeyed more 
closely the rule laid down by Newton: 

We are to admit no more causes of natural things, than such as are both 
true and sufficient to explain their appearances * * * for Nature is pleas’d 
with simplicity and affects not the pomp of superfluous causes.* 

This simplicity of Franklin’s hypothesis, added to the reputation 
which he himself rapidly attained in scientific circles, gave the one- 
fluid theory an advantage over its competitor for the time being, but, 
a serious theoretical objection was soon raised against it. Since on 
this theory a negative charge meant a deficiency of electric fluid, 
there must be a limiting value of negative charge, namely, when the 
body is completely emptied of the electric fluid; but two such bodies, 
both being negatively charged, should repel each other—and why ? 

There was much hesitancy on the part of the one-fluid advocates 
about pushing this argument to its logical conclusion. It remained 
for a bold German named Aepinus (1759) to seize the bull by the 
horns and assert that matter devoid of electricity is self-repellent. 

This doctrine came as a shock to a generation many of whom could 
remember Newton. It was useless to point out that Newton had 
deduced the law of gravitation by observation of bodies that pos- 
sessed their normal amount of electricity, and that the behavior of 
matter with the maximum negative charge was something which no 
one had ever observed. The one-fiuid theory had received a serious 
jolt from which it never recovered; this argument was used against 
it as late as the 1830’s. The attention of theoretical physicists of the 
eighteenth century was turned toward the two-fluid theory, and dur- 
ing the closing years of that century and the early part of the nine- 
teenth the work of Coulomb, Laplace, Biot, and Poisson produced an 
elaborate and elegant mathematical theory which so well described 
all the electrostatic phenomena then known that by 1830 the two- 
fluid theory was generally accepted. 


8 Newton, Principia, book 3: Rules of reasoning in philosophy. 


WHAT IS ELECTRICITY?—HEYL 219 


But it often happens that as soon as one theory is comfortably set- 
tled on the throne another rises up to challenge its supremacy. We 
shall see the reign of each successive theory of electricity growing 
shorter. ‘The thousands of years of the first era were followed by 
three centuries of the second. In the first half of the nineteenth 
century great things were happening. In 1820 Oersted had discov- 
ered that an electric current could produce a magnetic effect, thus 
tying together what had previously been regarded as separate phe- 
nomena. In 1822 Seebeck showed that electricity could be generated 
by heat. These discoveries impressed themselves on the mind of 
Faraday, then at work in the Royal Institution. He was familiar 
with the work of Davy in producing chemical decomposition by 
electricity, and the converse phenomenon of Volta, the production 
of electricity by chemical action. Faraday was also aware of the 
converse of Seebeck’s discovery, the production of heat (and light) 
in the electric arc, and his thoughts turned naturally toward the 
undiscovered converse of the Oersted effect. He says himself at a 
later time ® (1845) : 


I have long held an opinion, almost amounting to conviction, in common, I 
believe, with many other lovers of natural knowledge, that the various forms 
under which the forces of matter are made manifest have one common origin; 
or, in other words, are so directly related and mutually dependent, that they 
are convertible, as it were, into one another, and possess equivalents of 
power in their action. In modern times the proofs of their convertibility have 
been accumulated to a very considerable extent, and a commencement made of 
the determination of their equivalent forces. 


Such were the considerations which led Faraday to attempt the 
generation of electricity by means of a magnet (1831). The story 
is familiar to all of us; how he placed a magnet in a helix of wire 
and found that no current was produced except momentarily while 
the magnet was being placed in or taken out of the coil. This dis- 
covery seems to have made quite an impression in other than scientific 
circles, as is evidenced by some verse which has come down to us: 

Around the magnet, Faraday 
Is sure that Volta’s lightnings play. 
To bring them out was his desire. 
He took a lesson from the heart; 
*Tis when we meet, ’tis when we part, 
Breaks forth the hid electric fire. 

Encouraged by this success, Faraday later (1845) sought and 
found a correlation between magnetism and light. Twenty years 
later this in its turn furnished the inspiration for Maxwell’s electro- 
magnetic theory, by means of which the domain of optics was 
annexed to that of electricity. 


® Faraday, Experimental Researches in Electricity, vol. 3, p. 1, London, 1855. 


920 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The publication of Maxwell’s paper in 1865 may be considered as 
closing the second era of electrical theory, that in which electricity 
was regarded as a material fluid, and the opening of the third era in 
which the concept of electricity assumed a less material and more 
elusive form. 

By 1865 the two great doctrines of nineteenth century physics, the 
conservation of energy and the correlation of physical forces (as 
foreshadowed by Faraday) had been enunciated and were well on 
the way to general acceptance. During the seventies and early 
eighties, electricity, in common with heat and light, was sometimes 
called, in the phrase of the day, a mode of motion, which meant a 
form of energy. 

The adoption of this view was, of course, a matter of slow growth. 
Maxwell’s electromagnetic theory had a long struggle for acceptance, 
so long, in fact, that Maxwell himself did not live to see its final 
triumph. He died in 1879, and it was not until 1886, when Hertz 
produced experimentally the electromagnetic waves which Maxwell’s 
theory demanded, that its acceptance may be said to have become 
complete. 

Against this concept of electricity as a mode of motion, that is to 
say, a form of energy, Lodge *° in 1889 entered a protest. He pointed 
out that water or air under pressure or in motion represents energy, 
but that we do not, therefore, deny them to be forms of matter. He 
emphasized an important distinction between two terms: electrifica- 
tion, which is truly a form of energy, as it can be created and de- 
stroyed by an act of work, and electricity, of which none is ever 
created or destroyed, it being simply moved and strained lke matter. 
No one, said Lodge, ever exhibited a trace of positive electricity with- 
out there being somewhere in its immediate neighborhood an equal 
quantity of the negative variety. 

Lodge did much to crystallize the ideas of the time concerning the 
nature of electricity. These ideas, since Maxwell’s merger of optics 
with electricity, had been, as Lodge pointed out, not clearly defined, 
but in general the idea was that electricity was in some way a phe- 
nomenon of the ether. Lodge enlarged upon this idea, explaining 
electrostatic phenomena as due to ether stress, electric currents as 
ether flow, and magnetism as ether vortices. Electricity, which had 
been previously regarded as a material fluid, now became an imma- 
terial one, and in consequence this third period of electrical theory 
may be called the ethereal era. 

As we mount toward the present time we see the different eras of 
electrical theory rapidly shortening in duration. While the spiritual 


16 Lodge, Modern Views of Electricity, p. 7, Macmillan & Co., London, 1889. 


WHAT IS ELECTRICITY?—HEYL 221 


era lasted several millenniums and the fluid theory three centuries, 
the ethereal era lasted only a few decades. The fourth era is that 
which is still with us. It may be called the atomic or quantum 
period, in which it is noteworthy that but little attention has been 
paid to the ultimate nature of electricity and a great deal to its 
structure. It is difficult to say when this period began, as, in fact, 
the ethereal era began to die almost as soon as it began to live. 

Wilhelm Weber," in 1871, in developing his theory of magnetism, 
pictured to himself light positive charges rotating about heavy nega- 
tive ones, much like a satellite about a planet; and in 1874 Johnstone 
Stoney read before Section A of the British Association a paper 
entitled “The Physical Units of Nature”, which was not printed 
until 7 years later.12 In this paper he asserted the atomic nature of 
electricity and made a rough calculation of the elementary charge 
on the basis of Faraday’s law of electrolysis. Ten years later * he 
was the first to use the term “ electron.” 

Helmholtz,* in his Faraday lecture at the Royal Institution in 
1881, further developed this line of thought, saying (p. 290) : 

Now the most startling result of Faraday’s law is perhaps this. If we accept 
the hypothesis that the elementary substances are composed of atoms, we cannot 
avoid concluding that electricity also, positive as well as negative, is divided 
into definite elementary portions, which behave like atoms of electricity. 

Maxwell himself saw that his electromagnetic theory was essen- 
tially continuous in its nature, and recognized the difficulty arising 
from the implications of Faraday’s experiments. In his “ Treatise 
on Electricity and Magnetism” (vol. 1, p. 318, ch. 4, 1873), in 
the chapter on electrolysis he says: 

It is extremely improbable that when we come to understand the true 
nature of electrolysis we shall retain in any form the theory of molecular 
charges. 

For Helmholtz, however, the atomic nature of electricity was be- 


yond question. Electricity, as he saw it, was a special chemical ele- 
ment ** whose atoms combine with those of other elements to form 
ions. Moreover, it appeared to be a monovalent element, for it 
seemed that a monovalent element combined with one electron, a 
bivalent one with two, and so on, exactly as a chlorine atom combines 
with one atom of hydrogen and an oxygen atom with two atoms of 
hydrogen. Helium, with its zero valence and double electrical 
charge, was as yet unknown. 


11 Millikan, The Electron (2d ed.), p. 20, University of Chicago Press, 1924. 

122 Stoney, Phil. Mag., vol. 11, pp. 381-390, 1881. 

18 Stoney, Sci. Trans. Roy. Dublin Soc., 11th ser., vol. 4, p. 563, 1891. 

14 Helmholtz, Journ. Chem. Soc. (London), vol. 39, pp. 277-304, 1881. 

1 Graetz, Recent Developments in Atomic Theory, Methuen & Co., London, 1923. 


222 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The inevitable process of reconciliation of these contradictory 
theories was early begun by Lorentz,1* who suggested for this pur- 
pose his electron theory of electricity. On this theory all the effects 
of electricity inside bodies were explained on the assumption of elec- 
trons, and all the effects of electricity at a distance, electrostatic, 
electromagnetic, and inductive, required the help of the ether. To 
unite these two classes of phenomena he assumed that each electron 
was closely bound up with the ether, and that any change in config- 
uration of the electrons produced a change in the ether which was 
propagated with the velocity of light, and thus produced action at a 
distance. 

About this time an entirely new line of experimental research was 
developing which was destined eventually to make the atomic con- 
cept of electricity dominant for a time. This was the study of the 
electric discharge in high vacua. Several workers had investigated 
this field without attracting much notice, but it remained for Crookes 
to direct widespread attention to this class of phenomena by an exhi- 
bition of novel and beautiful effects in vacuum tubes which he gave 
at the meeting of the British Association at Sheffield in 1879. 
Crookes unquestioningly assumed these effects to be due to electrified 
molecules of residual gas in the tube. It was shown later by others 
(J. J. Thomson, Townsend, Wilson, Millikan) that the negatively 
charged particles in a Crookes tube were not molecules or even atoms, 
but bodies of a minuteness previously unknown, about the 1/1800th 
part of a hydrogen atom in mass, and bearing a definite negative 
charge of electricity. For these tiny bodies the term electron, intro- 
duced by Stoney, was revived. Still later work brought to light the 
proton, with an equivalent positive charge but larger mass than the 
electron and, in our own day, the positive electron. 

As a result of this new line of investigation it became clear that 
a great many electrical phenomena required the atomic theory of 
electricity for their explanation. A great many, but not all; for a 
large number refused to fall in line under a corpuscular explanation, 
but could be simply and completely explained on Maxwell’s theory 
as ether disturbances. The discovery by Hertz of the electromagnetic 
waves predicted by Maxwell did much to swing the pendulum back 
in this direction. The reconciliation of these contending views has 
been carried on much along the line originally taken by Lorentz. 
It is of interest to note that his idea of an electron inseparably bound 
up with the ether is found today in all essentials in the theory of 
wave mechanics. 

16 Lorentz, Verslagen en Mededeelingen der Koninklijke Akademie van Wetenschappen, 


Amsterdam, vol, 8, pp. 323-327, 1891. Also Arch. Neérlandaises, vol. 25, p. 482, ch. 4, 
1892, 


WHAT IS ELECTRICITY?7—HEYL 223 


We have now brought this somewhat hurried survey of electrical 
history up to the present day. We have seen that past speculations 
as to the nature of electricity fall into four classes, each correspond- 
ing to an era of thought. In the first of these eras, beginning prob- 
ably with the earliest observations of electrical attraction, and 
terminating in the middle of the sixteenth century, electricity was 
regarded as a soul or spirit. The second era may be said to have 
been opened by Cardan in 1551 and closed by Maxwell in 1865. Dur- 
ing these three centuries electricity was regarded as a material fluid 
of one or two kinds. It is worthy of note that during this period 
the concept of the electrical fluid showed a trend toward the imma- 
terial, from Cardan’s “ fatty and glutinous humor ” to the impalpable 
and imponderable fluid of the early nineteenth century. In the 
third era electricity in its various manifestations was regarded as 
some kind of an ether disturbance of a continuous nature. The 
fourth concept emphasized the atomic or discontinuous structure of 
electricity without any suggestion as to the ultimate nature of these 
atoms. 

But though speculation as to the ultimate nature of electricity has 
been in abeyance since the opening of the twentieth century, it will 
certainly arise again, and, within limits, it is well that it should. We 
may, therefore, turn now to an examination of the wealth of material 
which the last 40 years have placed at our disposal and see what it 
may contain that is likely to be of importance in guiding and sug- 
gesting future speculation as to the nature of electricity. 

The emphasis laid by the twentieth century on the structure, 
rather than the nature, of electricity is natural, for structure is much 
more easily determined than nature, and, moreover, a knowledge of 
the first is likely to give us some useful hints as to the second. It 
appears that the discontinuous structure of electricity goes almost 
hand in hand with that of matter. <A tabular view of the known 
elementary particles of matter with their «associated charges of 
electricity will be useful. 


Charge + — 0 
DVIS WET OA VV mee eee Se Sas ee ton ee Rt Proton ome Neutron 
Vass eo hte Seta ae Aes Rey Bs ee + Electron —Electron (Neutrino) 


The heavy particles now known, the proton and the neutron, have 
a mass equal to that of a hydrogen atom; the light particles have 
about 1/1800 of this mass. The light neutral particle has not yet 
been discovered, but so urgent is the demand for it in current nuclear 
theory that it has been named before its advent. 


224 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


According to the idea that has prevailed for 2 centuries, positive 
and negative electricity should be merely reflected images of each 
other, their properties being equal and opposite. The behavior of 
the negative electron and the proton shows nothing inconsistent with 
this concept as far as electrical properties go. On the discovery of 
the positive electron it was at first thought that it was shorter lived, 
or, as a chemist might say, more reactive than its negative counter- 
part, but this has not been borne out by subsequent investigation.” 
The mass associated with the positive charge in this case has been 
investigated by several persons. The latest work is that of 
E. Rupp #8, who finds that the mass is within 5 percent of that of 
the negative electron. Rupp appears to have found one point of 
difference between the two which, if confirmed, will be of impor- 
tance. 

It has been found that the passage of negative electrons through 
thin films of metal is accompanied by a diffraction effect, photo- 
graphs of the electron beam after transmission showing a series of 
concentric rings. Rupp passed negative and positive electrons 
through the same films of gold and aluminum, and found that while 
the negative particles gave the usual rings the positive particles 
showed a continuous scattering. We will return to the interpretation 
of this later. 

As to the neutron, it is still uncertain whether it is a proton which 
has acquired a negative electron or whether it is to be regarded as 
an independent entity without electric charge. The latter, as we 
shall see later, would be in serious conflict with present accepted 
electrical theory. 

There was a time, not so very long ago, when the atom of matter 
was considered to be its ultimate structural unit. The discovery of 
the proton and the electron gave meaning to the term subatomic. 
With this in mind, the question naturally arises as to a possible 
further subdivision of the electron. Several observers have claimed 
to have found evidence of smaller charges than that carried by the 
electron, but Millikan,’ after an exhaustive discussion of the sub- 
ject, came to the conclusion that up to 1924 there had been adduced 
no satisfactory evidence of this smaller charge. 

In the early years of the present century there was some discus- 
sion as to whether the electron was to be regarded in shape as a 
rigid sphere (Abraham) or as contractile. The latter hypothesis 
was advanced by Lorentz to explain the negative result of the 
Michelson-Morley experiment. Lorentz supposed the electron, by 

1% Allowing for relative abundance. 

18 Rupp, Phys. Zeit., vol. 35, p. 999, 1934. But in Zeit. Phys., vol. 93, p. 278, 1935, Rupr 


has withdrawn his earlier article for further verification. 
19 The Electron, chap. 8. 


WHAT IS ELECTRICITY?—HEYL 225 


motion through the ether, to flatten into an oblate spheroid. Exper- 
iments by Bucherer”° in 1909 were interpreted as favoring the 
hypothesis of Lorentz. 

But in 1927 a new line of experimental evidence as to the structure 
of the electron was opened up by Davisson and Germer,”! soon fol- 
lowed by G. P. Thomson.2?. These investigators found in brief, 
that electrons (of the negative variety) might be scattered by re- 
flection or diffracted by passage through very thin films of metal 
in such a way as to suggest that an electron is at least as much like 
a little bunch of waves as it is like a particle, and that neither aspect 
can be ignored. 

This is well brought out by G. P. Thomson’s diffraction rings. 
The electron must have a wave aspect, or there would be no inter- 
ference pattern; it must have a charged particle aspect, or the 
whole ring system would not be deflected by a magnet, as it is found 
to be. The whole situation, in fact, had been foreshadowed theo- 
retically by the wave mechanics of de Broglie and Schrédinger. 

A number of explanations have been offered for this dual be- 
havior. Perhaps the most completely worked out is that of J. J. 
Thomson,” based upon the diffraction rings obtained by his son, 
which lend themselves particularly well to theoretical treatment. 
On this view the electron is associated with and accompanied by a 
group of waves which guide and direct its motion. Now it was 
found by a study of the speed of the electrons and the associated 
wave lengths in the diffraction rings that a curious and complicated 
relation existed between these quantities. If wu is the velocity of an 
electron and X its associated wave length, this relation is: 


Ur 
Ji—wje © 
in which ¢ is the velocity of light and C is a constant, 

But this, as J. J. Thomson shows, is exactly the relation that should 
hold for the group speed of electromagnetic waves in a medium such 
as the Kennelly-Heaviside layer, containing a multitude of electric 
charges, positive and negative. 

J. J. Thomson therefore suggests the following structure for the 
negative electron: 

I. A nucleus which, like the older concept of the electron, is a 
charge of negative electricity concentrated in a small sphere. 

II. This nucleus does not constitute the whole of the electron. 
Surrounding it there is a structure of much larger dimensions which 


20 Bucherer, Ann. Phys., vol. 28, p. 513; vol. 29, p. 1063, 1909. 

2 Davisson and Germer, Phys. Rev., vol. 30, p. 705, 1927. 

22Thomson, G. P., Proc. Roy. Soc., vol. 117, p. 600, 1928. 

*s Thomson, J. J., Beyond the Hlectron, Cambridge Univ. Press, 1928; Phil. Mag., vol. 6, 


p. 1254, 1928. 


226 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


may be called the sphere of the electron. This sphere contains an 
equal number of positive and negative charges, forming a little Ken- 
nelly-Heaviside layer around the nucleus. Measurements on the 
diffraction rings indicate a diameter for this sphere at least 10,000 
times that previously accepted as the diameter of the electron. 

III. The nucleus is the center of a group of waves and moves with 
the group speed in its atmosphere of electric charges. 

At the time that J. J. Thomson proposed this hypothesis the posi- 
tive electron was not known. Here comes in the importance of Rupp’s 
work previously referred to. On their face these experiments indi- 
cate either that the train of waves that accompanies a negative elec- 
tron is absent from the positive electron, or that all possible wave 
lengths are present. 

Just as the atom, once regarded as an ultimate structural unit, is 
now recognized as a complex of electrons, protons, neutrons and pos- 
sibly neutrinos, so the electron, it seems, must be regarded as a 
similar complex. Much more, doubtless, is to be learned about its 
structure before we can hope to answer the question, What is 
electricity ? 

Perhaps the most outstanding fact in modern physical theory is 
the dominant position occupied by electricity. In the nineteenth 
century one spoke of matter and electricity as two separate and in- 
dependent entities; nowadays electricity has become the funda- 
mental entity of which matter is merely an aspect. Matter, once 
supreme, has lost its individuality and has become merely an elec- 
trical phenomenon which electricity may exhibit more or less accord- 
ing to circumstances. 

It is obvious that our answer to the question: What is electricity ? 
will be fundamentally influenced according to whether we hold an 
electrical theory of matter or a material theory of electricity. It will 
therefore be worth our while to examine the foundation for the 
present view that electricity, whatever it may be, is the sole world- 
stuff. So radical has been this change in our thinking that it would 
seem a foregone conclusion that it must be based upon the clearest 
and most unequivocal of experimental evidence. 

This change in our concepts did not come suddenly. Its beginning 
dates back to 1893, when J. J. Thomson 74 showed on theoretical 
grounds that a charged sphere in motion through the ether would en- 
counter a resistance which to all intents and purposes would appear 
as an increase in the sphere’s inertia, 1. e., in its mass. Calculation 
indicated that this effect would become appreciable only if the 
velocity of the charged body was comparable to that of light. 


24Thomson, J. J., Recent Researches in Electricity and Magnetism, p. 21. Clarendon 
Press, Oxford, 1893. 


WHAT IS ELECTRICITY?—HEYL 227 


In 1893 this suggestion was of academic interest only, no bodies 
moving with sufficient speed being then available for experiment. A 
few years later conditions had changed. The study of radioactive 
substances and of the discharge of electricity through gases had 
placed at our disposal positively and negatively charged particles 
moving with unprecedented speeds, which in the case of the negative 
particles were in some cases comparable with the speed of light. 
Here, it would seem, was an opportunity to test Thomson’s theory 
of increasing mass. 

Unfortunately, the conditions of the problem were such that it was 
not at first possible to obtain a measure of the mass of such a par- 
ticle, but only a determination of the ratio of the electric charge to 
the mass which carried it (e/m). 

Kaufmann * found, however, that for the swifter particles this 
ratio was less than for the slower ones. There were only two ways 
of explaining this fact, both equally radical: either the mass in- 
creased or the charge diminished as the speed of the particle became 
greater. 

In this dilemma opinion inclined generally to the first alternative, 
largely because there was in existence a theoretical reason to expect 
it, while no one as yet had been ingenious enough to suggest any 
reason why a moving charge should alter. It is of importance to 
note that Kaufmann’s experimental result, because of its equivocal 
character, cannot be accepted as more than half proving J. J. 
Thomson’s theory. 

Kaufmann calculated that such particles as he experimented with 
might have, when moving slowly, an electrical mass equal to about 
one-fourth their total mass. In making this calculation he assumed 
that a particle behaved as though it were a little metallic conductor, 
but he was careful to point out that a different assumption might 
lead to another result. 

J. J. Thomson, on the assumption that a particle had no metallic 
conductivity, but acted like a point charge, found that Kaufmann’s 
results indicated that the whole of the mass of the particle might be 
accounted for electrically. 

This was the origin of the electrical theory of matter. Its pedigree 
goes back to J. J. Thomson’s theory, which in turn was derived from 
the electromagnetic theory of Maxwell. Kaufmann’s experiments 
only half proved Thomson’s theory, which in addition was compli- 
cated by a special assumption with regard to the distribution of the 
charge on the particle. Without this assumption only a part of the 
mass could be accounted for electrically. 


2 Kaufmann, Gesell. Wiss. GOttingen, Nov. 8, 1901; July 26, 1902; Mar. 7, 1903. 
36923—36: 16 


228 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


But much water has run under the bridge since 1893. Forty years 
is a long life for any physical theory in these days, and the recent 
discovery of the neutron has brought with it a challenge to the 
electrical theory of matter. 

In J. J. Thomson’s original theory of the increase in mass of a 
moving charge it was an essential point that the lines of force should 
be free to adjust themselves as the motion demanded. As a leaf or 
a card tends to flutter down through the air broadside on, so the 
lines of force, originally distributed radially and symmetrically 
about the charge at rest, will tend to set themselves in a plane 
perpendicular to the direction of motion of the charge. They will 
not all be able to lie in this plane because of their mutual repulsion, 
but the density of the lines will be a maximum in this plane and a 
minimum in the direction of motion, and a certain space distribution 
will result of such a nature that the apparent increase of mass can 
be completely accounted for. 

But it is essential for this result that the lines of force shall be per- 
fectly free at their outer ends; in other words, only a single isolated 
charge is considered. Now, in a structure like the hydrogen atom, 
composed of a negative and a positive particle, there is bound to be 
some interference with this freedom of adjustment. In a neutral, non- 
ionized atom it would appear that all of the lines must begin and 
end within the atomic structure. 

J. J. Thomson must be given credit for foreseeing this difficulty, 
though the Bohr atom was as yet years in the future. He had an 
atomic concept of his own in mind at that early date and pointed out 
that the distance between the particles constituting an atom must be 
thousands of times the diameter of a particle. In consequence, he 
said, almost all of the mass will originate where the lines have their 
greatest density, near each particle; and the particles are relatively 
so far from each other that the parts of the lines of force in their 
immediate neighborhood will have almost perfect freedom of orien- 
tation with the motion of the atom.”* 

This is a quantitative question; but it is clear that only under the 
most favorable conditions will we have a freedom of motion in the 
atom which approximates that around an isolated charge, and in con- 
sequence the electrical explanation of matter on J. J. Thomson’s 
theory must be in the same degree approxinate. 

With the neutron, conditions are more rigid. Assuming the neu- 
tron to consist of a proton and a negative electron, the union of these 
must be almost as close as possible, as the neutron, on modern theory, 
may form a constituent of an atomic nucleus. Here we are dealing 
not with atomic magnitudes but with subatomic dimensions, which is 


22 Thomson, J. J., Electricity and Matter, p. 51, Scribner’s, New York, 1904. 


WHAT IS ELECTRICITY?—HEYL 229 


quite another thing. Freedom of motion of the lines of force in such 
a structure must be almost nonexistent. And if we make the alter- 
native assumption that the neutron is an independent, nonelectrical 
entity, the electrical theory of matter must admit of an important 
exception. 

But an electrical theory of matter to be acceptable must admit of 
no exceptions. It must obey the “all or none principle.” If it is 
approximate in even the slightest degree we are confronted with the 
existence of two kinds of matter, ordinary and electrical, and we are 
violating the rule of simplicity in reasoning laid down by Newton. 

But has there not been later evidence supporting this theory ? 

It has sometimes been said that Millikan’s oil-drop experiments, by 
which he measured the charge on a single electron, prove the con- 
stancy of this charge, and hence the variability of the mass alone in 
Kaufmann’s experiments. It is true that Millikan found that the 
charge on an ion after it had been transferred to the oil drop was the 
same whatever the source of the original charge. Ions of different 
gases, unquestionably of different speeds, gave the same charge to 
the drop. But it is to be remembered that the measurement of this 
charge was made not at the speed of the ion but at that of the oil drop, 
which was of the order of a few hundredths of a centimeter per 
second. 

The special theory of relativity is sometimes quoted in support of 
the constant charge and variable mass. It is true that Kinstein 27 in 
his original paper of 1905 gives a formula for the change of mass 
with the speed of a moving electron, which, like J. J. Thomson’s 
formula, becomes infinite at the speed of light, and that he gives no 
similar formula for a change in the charge. It will be interesting 
for us to see how he obtained this result. 

In section 10 of his paper Einstein derives the following formula 
for the w-component of the acceleration of a moving charged par- 
ticle, together with formulas for the other components: 

dee Mt 

GP Tine 
in which ¢ is the charge on the particle, m its rest mass, X the com- 
ponent of the electric vector, and 8 the familiar 1 /./1-v?/¢. 

It is evident that the quantity ¢/m is altered by the factor 1/8°, 
but whether the charge or the mass or both are changed is not obvi- 
ous. Kinstein without comment assumes e to be constant and 2 to 
bear the full effect of the modifying factor, and on this basis derives 
his formula for the change of mass. 


x 


27 Hinstein, Ann. Phys., vol. 17, p. 891, 1905. 


230 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


This assumption, of course, was orthodox in 1905, but it is of 
interest to note that as a matter of logic the electrical theory of 
matter can claim no supporting evidence from the special theory of 
relativity. 

On the basis of this result of Einstein, Sommerfeld ** introduced 
a modification into Bohr’s theory of the atom. On Bohr’s theory 
the hydrogen atom was regarded as consisting of a negative electron 
revolving in a Keplerian ellipse around a positively charged nucleus, 
the attraction between the two charges being balanced by the cen- 
trifugal force of the revolving electron. Sommerfeld (p. 45) makes 
the orthodox assumption that the electrical charges remain constant, 
but that the mass of the revolving electron varies with its speed 
according to Einstein’s formula. In consequence the mass of the 
electron fluctuates as it describes its orbit, being greatest at perihelion 
and least at aphelion, and its centrifugal force will vary slightly 
from that in a nonrelativistic Keplerian ellipse. Because of this the 
orbit becomes an ellipse with a moving perihelion, like that of the 
planet Mercury. The effect of this will be to split up the spectral 
lines, producing what Sommerfeld called the relativistic fine structure. 

This predicted effect has actually been found in the spectra of 
hydrogen and helium, the number of the component lines and their 
relative separation being in accordance with theory. 

As to the value of this result as a confirmation of the electrical 
theory of matter, it is to be observed that Sommerfeld would have 
obtained exactly the same modification of the Keplerian ellipse if 
he had assumed the charge to decrease and the mass to remain con- 
stant, thereby disturbing the balance by reducing the centripetal 
attraction instead of increasing the centrifugal force. 

The logic of the whole situation is that the electrical theory of 
matter can claim no independent support from Millikan, Einstein, or 
Sommerfeld. It rests for the present on J. J. Thomson’s theory, 
and even this theory assumes tacitly that the charge is unaltered by 
the motion. It is remarkable that everyone we have mentioned, from 
J.J. Thomson onward, when confronted with the necessity of mak- 
ing a choice, prefers to keep the charge constant and let the mass 
take the consequences, and this without comment or apology. 

Of course, there must be a reason for this; and although it is 
explicitly stated by no writer that I have seen, the reason is doubt- 
less to be found in a fundamental law of electricity, that of the con- 
servation of electrical charge, with its corollary, the exact equivalent 
of positive and negative electricity. This law states that no one 
has ever produced the shghtest trace of a positive charge without 
the simultaneous production of an equal and opposite negative charge 
somewhere in the neighborhood. 


28 Sommerfeld, Ann. Phys., vol. 51, p. 1, 1916. 


WHAT IS ELECTRICITY?7—HEYL Zal 


This law has been the subject of some very searching experiments. 
We may operate within a large conducting cube, such as was built 
by Faraday at the Royal Institution; perform within it all the usual 
electrical experiments; excite a glass tube by rubbing it with fur; 
draw sparks from an electrical machine; and yet a sensitive gold- 
leaf electroscope connected to the cube will remain undisturbed. It 
seems impossible to create or destroy an electric charge without a 
compensating creation or destruction of an equivalent charge of the 
opposite sign. 

And yet the era of thought which has not hesitated to question the 
conservation of energy can hardly be expected to respect this elec- 
trical principle; and, in fact, this law has been brought under fire 
from several quarters. If these points of order are sustained, they 
will have an important bearing on future answers to the question, 
What is electricity ? 

It is well to remember in this connection that all the experiments 
upon which is based the law of conservation of electric charge have 
started with neutral bodies. The glass tube and the fur were at first 
neutral, but exhibited equal and opposite charges after being rubbed 
together; the electrical machine was at first neutral, but on being 
operated its two sides became equally and oppositely charged. 

Suppose a chemist should announce that as a result of the analysis 
of several thousand neutral salts he had come to the conclusion that 
acid and basic radicals existed in equal amounts in nature; we would 
likely think him ignorant of such syntheses as that of the acid radical 
cyanogen (CN) from its elements in the electric arc. But is there 
any known electric analogue of such a synthesis or its reverse disso- 
ciation? No; nothing that we have so far been able to produce in the 
laboratory; yet if we imagine some race of children of the gods who 
could play with planets as we with pith balls, something of this kind 
might come to their notice. 

Among the phenomena of atmospheric electricity there is an un- 
solved mystery. Many fruitless attempts have been made to explain 
it consistently with the principle of conservation of electrical charge. 
Continual failure has led more than one physicist to look for the 
explanation in a slight departure from this principle, and it has been 
shown that a departure so slight as to be beyond laboratory detection 
would yet, on the large scale, solve this mystery. The difficulty in 
question is to account for the negative charge of the earth. 

Our earth is not a neutral body. Its entire surface is negatively 
charged to such an amount that there exists near the surface a 
potential gradient of 150 volts per meter. The conductivity of the 
atmosphere is small, but not zero; and because of this conductivity 
and the potential gradient there is a continual conduction of negative 


Doe ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


electricity away from the earth amounting, over the whole surface 
of the earth, to a current of about 1,000 amperes. Small as this may 
appear, it is sufficient to bring about a loss of 90 percent of the earth’s 
charge in 10 minutes if there were no means of replenishing the loss. 
The nature of this replenishment is the mystery referred to. 

So great has been the difficulty of accounting for this replenish- 
ment that in 1916 G. C. Simpson,” now director of the British 
Meteorological Office, raised the question of a possible spontaneous 
production of a negative charge in the earth’s interior, but offered no 
suggestion as to how this could be brought into line with existing 
theory. 

In 1926 Swann,®° who had worked unsuccessfully with the same 
problem, followed Simpson’s lead, but chose the other alternative of 
a slight annihilation, or as he called it, “ death of positive electricty.” 
He was able to bring this into connection with existing electrical 
theory by generalizing Maxwell’s equations. His fundamental idea 
was that there might be a very slight difference in the properties and 
behavior of the two electricities. Here again we are reminded of 
the difference apparently found by Rupp. 

Such a suggestion was not without precedent. Lorentz ** in 1900 
had postulated a difference between the attraction of unlike charges 
and the repulsion of like charges to account for another mystery— 
gravitation. It must be admitted that the accepted idea of the 
absolute equivalence and mirror-image character of the two electric- 
ities had weakened somewhat when such men as the director of the 
British Meteorological Office, the director of the Bartol Research 
Foundation and a Nobel prizeman could join in expressing doubt of 
its accuracy.®? 

Swann’s theory of the maintenance of the earth’s charge is, from 
the theoretical point of view, the most successful that has yet been 
advanced. He modifies the equations of Maxwell by introducing 
two small terms, amounting respectively to one part in 10? and five 
parts in 10° of the main term of the classical theory. These addi- 
tional terms involve the acceleration and time rate of change of 
positive charge. 

Swann assumed no similar terms for the negative charge, his idea 
being that there is a slight differential effect in behavior. For sim- 
plicity, therefore, he introduced a differential term applying only 
to positive electricty. This assumption enabled him to account for 


* Simpson, G. C., Monthly Weather Rev., vel. 44, p. 121, 1916. 
* Swamun, Journ. Franklin Inst., vol. 201, p. 143, 1926. Phil. Mag., vol. 3, p. 1088, 
1927. 
3. Lorentz, Koninkl. Akad. Wetensch. Amsterdam, Proc. Sec. Sci., vol. 2, p. 559, 1900. 
* Additional references: More, Phil. Mag., vol. 21, p. 196, 1911. Gleich, Ann. Phys., 


vol. 83, p. 247, 1927. Anderson, W., Ibid., vol. 85, p. 404, 1928, Press, A., Phil. Mag., 
vol. 14, p. 758, 1932. 


WHAT IS ELECTRICITY?7—HEYL PAB Rs: 


a slow death of positive electricity due to the centripetal acceleration 
produced by the earth’s rotation. 

To account for the known electrical facts, there is necessary an 
annihilation of less than one proton per ce per day, equivalent to a 
loss of 0.5 percent of the earth’s mass in 10° years. This would 
also account for as much of the earth’s magnetic field as is sym- 
metrical about the earth’s axis, and would give the correct ratio for 
the magnetic fields of the earth and the sun. Moreover, no develop- 
ment of charge or magnetic field could be detected with a sphere 
of laboratory size rotating at the highest practicable speed. And 
finally, Swann’s scheme is consistent with the special theory of 
relativity. 

Whatever may be thought of Swann’s fundamental assumption, 
it must be admitted that his theory is experiment-proof. Moreover, 
even though it should be definitely disproved, it would have the last- 
ing merit of impressing upon us caution in extrapolating laboratory 
results to the cosmic scale. 

The relations of newly discovered fact and existing theory are, as 
we have seen in this somewhat brief survey, rich in suggestion. 
Speculation is not dead but sleeping. If the past is still an indica- 
tion of the future, it will awake again to renewed activity, and when 
this occurs we will need a wide acquaintance with fact and a good 
sense of perspective to guide and direct future speculation on the 
question: What is electricity ? 


NEW FACTS ABOUT THE NUCLEUS OF THE 
ATOM’ 


By Cart D. ANDERSON 


Norman Bridge Laboratory of Physics, California Institute of Technology 


[With 2 plates] 


No depression has existed during the past 5 years in the world of 
scientific activity. During this period important advances in the 
field of “nuclear physics ” have come with startling rapidity. Each 
one of these steps forward has opened up fresh fields for exploration, 
and successful attempts—made in feverish haste—are daily un- 
covering new facts and relationships. The frequency with which 
announcements of new discoveries are appearing almost makes any 
contemporary survey out of date before it can reach the reader’s eye. 

Nuclear physics is a subdivision of the general field of atomic 
physics. The scientific activities begun before the opening of the 
present century and continuing up to the present day have given to 
us a satisfactory and rather complete picture of the atom as a whole. 
We now know it to be a small complex unit about one one-hundredth 
of a millionth of an inch in size, containing at its center an exceed- 
ingly small core or nucleus surrounded by one or more electrons, the 
number of electrons determining the classification of the atom as a 
particular element. The electrons which surrounded the nucleus are 
known as “extranuclear electrons.” Research of the past two or 
three decades has, for example, counted the extranuclear electrons 
which surround the nucleus in each one of the chemical elements. We 
know that hydrogen has 1 such electron, helium 2, and so on up to 
uranium, which has 92. Both the mass and electric charge of the 
electron have been accurately measured, and the masses of the nuclei 
of most of the elements have been determined. 

Furthermore, through the cooperation of the mathematical physi- 
cists and the experimenters in the laboratory, the motions and most 
of the general properties of these extranuclear electrons can today, 
in a scientific sense, be said to be understood. 

1 Reprinted by permission from the General Electric Review, vol. 37, no. 12, December 
1934. 

235 


236 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Not so, however, with the nucleus itself. Despite the new facts 
brought to light in the last fertile 5 years the nucleus still remains a 
bundle of mysteries and even contradictions. Rather than simpli- 
fying the situation the newer discoveries have shown the nucleus to 
possess a more varied and complicated personality than previously 
could have been permitted in the dreams of even the most imagi- 
native 

Before attempting a consideration of the recent discoveries, let us 
recall the picture which in the mind of the physicist represented the 
1929 model of the nucleus. It was an agglomerate of electrons and 
protons fastened together into a very small and very tightly bound 
structure. The electron, now so familiar to everyone, is a unit of 
negative electricity. No matter what its origin, it is always found to 
possess the same definite charge of negative electricity and the same 
mass. It is one of the building stones of all matter. It is a funda- 
mental particle. The proton was considered the second and only other 
fundamental particle. It possesses an electric charge equal in mag- 
nitude to that of the electron, but opposite in sign and therefore posi- 
tive; and has a mass nearly 2,000 times as great as that of the elec- 
tron. Hydrogen, the simplest of all atoms, has for its nucleus a single 
proton; and therefore contains a single extranuclear electron to bal- 
ance the charge of the proton and render the net charge of the atom 
equal to zero. After the experiments in 1919 by the present Lord 
Rutherford, in which he succeeded in observing protons driven out 
of the nuclei of nitrogen by bombardment with alpha particles— 
which are nuclei of helium atoms spontaneously emitted from radio- 
active substances—and, after it was shown that protons could be ob- 
tained in a similar manner from various other elements as well, it 
was generally assumed that all nuclei were built up of protons and 
electrons. On the basis of such a concept of the structure of nuclei, 
it was possible, if one were not too critical, to explain many of the 
known properties of nuclei. 

Each nucleus was assumed to contain a number of protons equal 
to its atomic weight. But, to affix a correct value to the electric charge 
of the nucleus, it was necessary to assume also that in all nuclei, with 
the exception of hydrogen, were imprisoned a number of electrons 
which canceled part of the positive charge of the protons. The latter 
assumption, however, presented a grave difficulty. The same theories 
which so successfully explained the behavior of the extranuclear elec- 
trons would not permit any nucleus to contain so much even as one 
electron. It was impossible to see how a particle of the mass of an 
electron could be confined to a region of space as minute as a nucleus. 
This difficulty cannot be resolved on the basis of present theories. 
They were developed to describe the properties of an atom in which 


NUCLEUS OF THE ATOM—ANDERSON 937 


the regions of space involved are of the order of, say, one-billionth of 
an inch; and become meaningless when applied to phenomena con- 
fined to regions of space a thousand times smaller in extent, such as 
those required for a nucleus. This difficulty will be resolved only by 
the extension or revision of the present theory and by the development 
of new fundamental theoretical concepts. 

But, as we stated, the 1929 model of the nucleus, when uncritically 
judged, had many successes. It could account, for instance, for the 
charge and mass of all nuclei. The existence of isotopes (nuclei of 
the same charge but different mass) and of isobars (nuclei of the 
same mass but different charge) could be explained simply by choos- 
ing the proper numbers of protons and electrons out of which to 
build the nucleus. 

The three well-known types of rays emitted by radioactive sub- 
stances seemed also to have a place in this picture. Gamma rays, a 
form of radiant energy consisting of streams of high-energy photons, 
were attributed to the release of potential energy stored in the 
nucleus. Alpha rays, helium nuclei consisting each of 4 protons 
and 2 electrons, represented an alternative mode of release of poten- 
tial energy in which the 4 protons and 2 electrons removed from the 
nucleus were bundled together in a stable unit which carried off the 
energy. Beta rays, comprising a third form of the release of energy, 
consisted simply of streams of fast-moving electrons. 

In a word, then, all the positive electricity in the world was locked 
up in the form of protons, and appeared only in nuclei. All the 
negative electricity existed as electrons, some of which were locked in 
nuclei while the remainder encircled the nuclei as extranuclear elec- 
trons. The proton and the electron constituted the two fundamental 
building stones out of which all matter was to be constructed. 


THH NEUTRON 


Destiny, however, had arranged for a sudden change of this whole 
point of view. The first inkling of the new knowledge came in 
1930; though the full import of its significance was not realized until 
nearly 2 years later. W. Bothe and H. Becker in Germany, in 1930, 
allowed alpha particles to strike, not nitrogen as Rutherford had 
done, but instead the very light metal beryllium. With their ap- 
paratus they did not observe the emission of protons, but instead a 
very penetrating ray capable of passing through several inches of 
lead, even more lead than the most penetrating gamma rays which 
arise in the natural radioactive substances. From its great pene- 
trating power they concluded that their new ray must be a very 
powerful gamma ray. This, as we shall see later, was not entirely 
correct. 


238 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The scene now shifts to France, and we find F. Joliot and his wife, 
Irene Curie, the daughter of the late Madame Curie, studying further 
the new Bothe-Becker rays. They brought to light the very im- 
portant fact that when these rays pass through matter they impart 
energy to nuclei and set them in rapid motion. These rays are then 
unlike ordinary gamma rays, which are known to impart energy 
almost wholly to electrons only. But still the rays kept their secret; 
and again the scene shifts, this time to England. 

J. Chadwick, profiting by the German and French experiments, 
turned his attention to these mysterious rays. He measured the dis- 
tance that various kinds of nuclei set into motion by the rays were 
able to penetrate through matter. In a short time he realized that 
the gamma-ray interpretation was entirely inadequate; but that all 
the effects could be coherently explained by assuming that the rays 
consist of a stream of particles about as massive as protons, although 
unlike protons, and unlike any material particles ever before ob- 
served, they are neutral electrically. Despite the initial skepticism 
on the part of many scientists, in a few weeks’ time, after further 
work by Chadwick and by others, this very revolutionary interpre- 
tation of the experiment was universally accepted and the existence 
of the neutron was established. The neutron was almost, but not 
entirely, a new concept, for in 1920 both Harkins and Rutherford 
had suggested the possible existence of such a particle, although not 
until 1932 were the experiments performed and the proof obtained. 
That date, therefore, remains as the neutron’s birthday. 

The discovery of the neutron was not by any means unwelcome, for 
it was immediately recognized that instead of electrons and protons 
one might use neutrons and protons out of which to build nuclei, 
thus avoiding the difficulty previously mentioned of confining elec- 
trons within nuclear dimensions. In fact, Heisenberg announced 
a preliminary theory of nuclear structure based on such a model. 

Chadwick suggested that the neutron itself may represent a very 
close combination of electron and proton; though it is not impossible 
that it may be itself a new fundamental particle. 


THE POSITRON 


During the time that the European physicists were busying them- 
selves with the experiments which led to the discovery of the neutron, 
in California there was in progress another type of experiment which 
resulted in the discovery of the positive electron or positron, as this 
particle is now generally designated. 

The subject of study in this instance was the cosmic radiation. In 
the spring of 1930 Professor Millikan and the writer, in collabora- 
tion, planned an apparatus designed to measure directly the speeds 


NUCLEUS OF THE ATOM—ANDERSON 239 


and energies of the individual particles which were known to be 
ejected from all material substance through which these rays passed. 
A modified form of the well-known Wilson cloud chamber was in- 
corporated into a powerful electromagnet. By means of the cloud 
chamber it was possible to photograph not an individual electron 
itself but an outline of the exact path followed by the electron in its 
passage through the gas of the chamber. We might compare this 
process to that of an observer in an airplane flying very high, who, 
though unable to discern a ship, might see very clearly its wake in 
the water. Through the aid of the magnetic field the speeds or ener- 
gies of the individual electrons can be determined. Any electrically 
charged particle, such as an electron, when between the pole pieces 
of a magnet, moves not in a straight line but in a curved path. A 
measurement of the radius of curvature then allows the speed to be 
easily calculated. 

This experiment showed at once several striking results. Elec- 
trons of prodigiously high speeds were observed, some of them hav- 
ing more than 99 percent the velocity of light; but of far more im- 
portance than this was the fact that many of the particles, from the 
sense in which they curved in the magnetic field, were seen to contain 
a positive electrical charge. This observation showed immediately 
that the nucleus of the atom plays an important role in the absorp- 
tion of the cosmic rays. It was an observation of a nuclear process, 
entirely different but in a sense analogous to that made by Ruther- 
ford in 1919, when he observed protons driven out of nitrogen nuclei. 

The results of these preliminary observations were reported in the 
fall of 1931, and the spring and summer months were spent in 
studying the properties of these particles of positive charge. A 
plate of lead was inserted into the cloud chamber to act as a barrier 
for the particles. A particle in passing through this lead plate would 
give up a part of its energy and emerge from the plate with a lower 
velocity than it possessed upon entering; hence the sharpness of the 
curvature in the magnetic field of the particle before and after trav- 
ersing the plate would show a difference, depending upon the amount 
of energy lost in the plate. Measurements made on the track of a 
particle before and after passing through a plate, together with 
observations of the density of the track itself, give definite infor- 
mation about the mass of the particle and the magnitude of the 
electric charge it carries. 

In August 1932 a photograph was obtained which showed clearly 
a particle of positive charge passing through the plate of lead and 
emerging with a lower energy. ‘The evidence presented by this 
photograph was so clear-cut that after the negative film was re- 
moved from the developing bath and before it was dry, we reached 
the conclusion that this particle might represent a positive electron. 


240 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Later study and careful measurement only tended to strengthen 
the interpretation that a fundamental particle of a new kind was 
present among the cosmic-ray particles. After several more photo- 
graphs showing evidence of a similar kind were obtained, the dis- 
covery was announced early in September 1982. 

In March 1933 P. M. 8S. Blackett and G. P. S. Occhialini in Cam- 
bridge, England, confirmed our announcement of the existence of 
the positive electron or positron. They used an apparatus of a 
similar kind, though with the added advantage that a cosmic-ray 
particle in passing through their apparatus would itself actuate the 
mechanism and cause a photograph of its path to be taken. 

During the following weeks workers in California and in various 
European laboratories carried out lengthy investigations on posi- 
trons. It was found that it was not necessary to rely upon cosmic 
rays, but that rays of laboratory origin could produce them as well. 
First, Chadwick, Blackett, and Occhialini showed that positrons 
were produced by the radiations generated when alpha particles 
from a radioactive substance were allowed to strike beryllium. The 
radiations in this case are complex in character, consisting both 
of neutrons and gamma rays; but in their experiment it was not 
possible to determine which of the rays was responsible for the pro- 
duction of the positrons. Curie and Joliot by a similar experiment, 
in which they inserted blocks of lead and paraffin into the path of 
the rays producing the positrons, showed that the positrons arose 
more likely as a result of the gamma rays than of the neutrons. 

The first direct proof that the well-known gamma rays from tho- 
rium can give rise to positrons was given by S. H. Neddermeyer and 
the writer. If the gamma rays are allowed to pass through a rather 
thick piece of lead and if the ejected electrons are observed, most of 
them are found to be of negative sign although some 10 percent are 
positive. Besides determining the relative numbers of positive and 
negative electrons, these experiments determined also the speeds or 
energies with which the electrons of both signs were ejected. 

Here an observation was made which is of importance in deciding 
just how the positrons are produced. ‘The most energetic positrons 
were found to have less energy than the most energetic negative 
electrons by a definite amount corresponding approximately to 1,000,- 
000 electron-volts.? 

To point out the significance of the energy difference of 1,000,000 
electron-volts, we must go back a few years and consider what the 
mathematical physicists had been thinking and doing while the other 
class of physicists, the experimenters, were performing their tests. 


2 The electron volt is a convenient unit for the measurement of electron energies and is 
equivalent to 1.6 10-” ergs or 1.210-! foot-pounds. 


NUCLEUS OF THE ATOM—ANDERSON 241 


One of the chief mathematical problems of the day was to incorpo- 
rate the theory of relativity into quantum mechanics. In this con- 
nection the endeavors of P. A. M. Dirac resulted in considerable suc- 
cess when he wrote down his famous equation, now known as the 
“ Dirac electron-equation.” 

This equation proved remarkably successful in solving a variety 
of problems which had hitherto baffled the theorists; but it contained 
one very striking feature which was a source of considerable annoy- 
ance. It required that electrons should under certain conditions 
have a negative energy and negative mass; they should have less 
than zero energy and weigh less than nothing. Dirac considered 
each point in space, including empty space or a perfect vacuum, to 
be “filled ” with an infinity of such negative energy electrons. He 
also made the assumption that these negative mass electrons were 
unobservable and that it was a property of free space that they 
should be there. Dirac stated in 1930 that if one of these electrons 
should be removed, the “ hole” in space that remained would mani- 
fest itself as an electron of positive electrical charge and of posi- 
tive mass and energy. 

The logic is perfect, for taking away less than nothing from space 
is equivalent to putting something there. 

Because no positive electrons had ever been observed and because 
of a natural repugnance toward the idea that an infinity of electrons 
of negative mass should occupy each point in space, practically all 
theoretical physicists considered this feature of Dirac’s equation an 
unfortunate weakness. Because of the success of his equation, how- 
ever, they continued to use it. 

But the discovery of the positron seemed to provide just the par- 
ticle to correspond to one of these “holes” in space. ‘The corre- 
spondence is indeed very close as is shown by the fact that in agree- 
ment with the Dirac theory, the fastest negative electrons had 
energies 1,000,000 electron volts greater than the fastest positive 
electrons, 

This observation provides evidence for the correctness of the view 
put forward by Blackett and Occhialini, who on the basis of the 
Dirac theory suggested that the positive and negative electrons might 
be created in pairs out of the incident radiation. Fortunately for 
the physicists of today, the theory of relativity as developed by Ein- 
stein shows that there exists a very close relationship between mass 
and energy—so close in fact that mass and energy may be considered 
as two aspects of the same entity. According to this view, if a pair 
of electrons is created out of the gamma radiation, then an amount 
of energy would be used up in the act of creation depending upon 
the masses of the particles formed. If one take the known mass of 
the negative electron, and assume the same value for the mass of the 


242 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


positron, then the calculated energy required for the creation of a 
pair of electrons comes out very close to 1,000,000 electron volts. 
The agreement with experiment is good, for according to this picture 
a negative electron can receive practically all the energy of the inci- 
dent radiation; whereas a positron can appear only through the crea- 
tion of a pair, hence the maximum energy it can receive is the energy 
of the incident radiation diminished by the 1,000,000 electron volts 
required to create the pair. 

In plate 2, figure 1, is shown a photograph of the paths of a pair 
of electrons, one positive and one negative, generated by gamma rays 
from thorium. Repeated experiments by ourselves, including meas- 
urements on 2,500 electrons, and by Chadwick, Blackett, and Occhia- 
lini, based on 4,000 measurements, have failed to show any certain 
evidence that the positrons are not created along with negative 
electrons by the incident gamma radiation. 

Calculations made by J. R. Oppenheimer and M. S. Plesset, who 
used the Dirac theory, have shown that the attenuation of a gamma- 
ray beam in passing through matter (due to the energy spent in 
creating electron pairs) is in good accord with observations. 

This bold theory of Dirac requires further that a positron, when 
it finds itself in a very ordinary environment, as, for example, in 
passing through water, shall, on the average, have only a very short 
life, of the order of a billionth of a second or less; for when a posi- 
tron meets a negative electron, both particles will suffer the fate of 
complete annihilation, and in their stead a pair of corpuscles ot 
radiant energy, each of one-half million electron volts, will remain. 
Although the lifetime of positrons has not been actually measured, 
it has been shown to be very short, and the “ annihilation radiation ” 
announcing their death has been observed. The first to do this were 
Joliot and Thibaud. The annihilation radiation is of the proper 
intensity and the energy of its individual corpuscles is approximately 
the required amount of one-half million electron volts, corresponding 
to the complete annihilation of the positrons. There is no reason to 
believe, however, that a positron, if removed from a region densely 
populated by negative electrons, may not live hundreds of millions 
of years, instead of perishing in a billionth of a second. 

The exact relationships among the four primary particles, the 
negative electron, the positron, the proton, and the neutron, are at 
present not known. It appears quite plausible that under certain 
conditions a negative electron and a proton may be formed out of 
a neutron; and similarly a positron and a neutron may be formed 
out of a proton. 

A photograph showing the paths of a shower of positrons and 
negative electrons ejected from a plate of lead by cosmic rays is 
presented in plate 1. 


NUCLEUS OF THE ATOM—ANDERSON 943 


THE DEUTON 


Spectroscopy, the study of light emitted by atoms under various 
conditions, has during the past several years played a major role in 
unraveling the mysteries concerning the behavior of the extranu- 
clear electrons. In 1931 it was responsible for a discovery of the 
first magnitude in the realm of nuclear physics. The wave length 
of the light emitted by an atom depends upon the energy change in- 
volved when an extranuclear electron transfers its position from one 
orbit to another. The amount of this energy change is determined, 
of course, chiefly by the charge upon the nucleus about which the 
electron revolves. The electron does not in fact revolve about the 
nucleus as a center; but both nucleus and electron revolve about 
their common center of gravity. Hence the size of orbit, and there- 
fore the wave length of the light emitted, depend in some measure 
upon the mass of the nucleus, as well as upon its charge. H. C. 
Urey, G. M. Murphy, and F. G. Brickwedde, early in 1932, in photo- 
graphing the spectrum of hydrogen, observed in addition to a well- 
known bright red line of hydrogen a faint line slightly displaced. 
These men correctly interpreted the new line as showing the exist- 
ence of a new kind of hydrogen atom, a new isotope of hydrogen, to 
the nucleus of which the name “ deuton ” has been given. All hydro- 
gen nuclei had previously been considered to consist simply of a 
single proton. Here, as measurements on the displaced line showed, 
was evidence of a new hydrogen nucleus having approximately twice 
the mass of a proton, and constituted presumably of a proton and 
neutron in close combination. The chemical properties of an atom 
depend upon the number of extranuclear electrons and therefore 
upon the nuclear charge and not upon its mass. The new hy- 
drogen, to which the name “ deuterium ” was given, forms water by 
combination with oxygen in a manner exactly identical with the 
well-known oxidation process of ordinary hydrogen into water. 
The new water, or “heavy water ”, chemically is pure water; but 
its physical properties, such as density, boiling and freezing points, 
differ slightly from ordinary water. 

Heavy water can be conveniently prepared simply by passing an 
electric current through ordinary water until only a small residue 
of the water is left. Ordinary water contains normally about 1 part 
in 5,000 of heavy water. By continued electrolysis this concentra- 
tion can be increased to any desired extent. Heavy water, 99 percent 
pure, was first prepared by G. N. Lewis, and is now sold in the 
market as a commercial product. ‘To the nuclear physicist, deutons, 
obtained from heavy water, have become exceedingly valuable as 
projectiles in the bombardment experiments to be described. Here, 

36923—36—17 


244 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


therefore, is an example of a discovery in pure science which almost 
immediately found a practical application in furnishing to the 
nuclear physicist a very efficient projectile just at a time when such 
ammunition was to become exceedingly valuable. 


ARTIFICIAL ATOMIC TRANSMUTATIONS 


Fundamentally, the method of effecting atomic transmutations is 
to allow one nucleus traveling at a high velocity to strike another 
nucleus and then to watch for evidence of a transmutation. Ruther- 
ford, in his first work in 1919, used the alpha particles emitted by 
radium. The alpha particles, or nuclei of helium atoms, were al- 
lowed to strike nitrogen nuclei; and the ejection of protons, or 
hydrogen nuclei, was observed. In the following years the work in 
this field progressed only slowly, chiefly because of the limitations 
imposed upon the method by the need of relying upon natural radio- 
active bodies to supply the projectiles. The scarcity of radioactive 
materials and the minute size of the nucleus target, which permitted 
only one in more than a million of the alpha particles to make a hit 
sufficiently direct to produce a transmutation, made the number of 
transmutations which could be effected by this method very small 
indeed. 

But in April 1932 the experiments of J. D. Cockcroft and E. T.S. 
Walton in the Cavendish Laboratory, England, gave a tremendous 
impetus to this fascinating and important phase of physics. In 
place of Nature’s own source of high-speed nuclei they substituted 
a large glass tube in connection with a high-voltage electrical circuit 
and observed for the first time atomic disintegrations produced by 
ammunition artificially flung. The electrical method of producing 
high-velocity streams of particles has the advantage that one is not 
limited only to alpha particles such as radium supplies but may also 
use various other nuclei. Cockcroft and Walton first used protons. 
The newly discovered deuton has proved to be a projectile par 
excellence and is now a favorite among the atom smashers. 

The speed given to the projectile depends upon the voltage applied 
to the tube. The first work was done using 700,000 volts; and, 
although it is not necessary to use voltage of such high values, the 
effectiveness for transmutation increases rapidly with voltage—the 
higher the voltage the more transmutations produced. The voltages 
employed, and the currents, which determine, respectively, the speed 
and the number of projectiles fired per second, are limited only by 
the technical difficulties involved. Already these have been over- 
come to such an extent that in this country, C. C. Lauritsen and 
R. H. Crane at the California Institute of Technology are using 
daily a tube operating at close to 1,000,000 volts and employing 


NUCLEUS OF THE ATOM—ANDERSON 245 


sufficiently large currents to send more than 2,000,000,000,000,000 
protons or deutons into the target per second, at speeds in excess of 
10,000 miles per second. 

Lauritsen and Crane use a 1,000,000-volt power transformer set 
to speed up their bombarding particles, but two other workers in this 
country have developed quite ingenious methods to achieve the same 
end. The first of these, operating in an extremely unique fashion, 
was developed by KE. O. Lawrence and his collaborators at the Uni- 
versity of California. This method consists essentially of the suc- 
cessive application, at accurately timed intervals, of relatively low 
accelerating potentials to the particles, each particle being acceler- 
ated in many steps until it has attained a high velocity. A radio- 
frequency oscillator is employed to furnish the timed accelerating 
pulses; and in one form of their apparatus, the whole accelerating 
chamber is placed between the pole pieces of a large electromagnet. 
The action of the magnetic field causing the particles to travel in 
circles, they thus return at regular intervals to receive another boost 
by the oscillating electric field until they are taken out for use near 
the periphery of the accelerating chamber. Through this means 
particles have been given energies up to some 4,000,000 electron- 
volts, the highest energy particles so far produced by laboratory 
means and used for atomic disintegrations. 

Another form of apparatus planned to produce particles of still 
higher energy is now under construction at the Massachusetts Insti- 
tute of Technology. Designed by Van de Graaff, this device is essen- 
tially an elaborate modification of the familiar electrostatic ma- 
chine. It has already produced in preliminary tests potentials of 
about 7,000,000 volts. The harnessing of potentials of this magni- 
tude to the speeding up of atomic particles is a technical problem 
of extreme difficulty. The Massachusetts group has not as yet 
applied these voltages to atomic transformations. When success- 
fully harnessed, such voltages will no doubt extend considerably 
this work in the “ chemistry of the nucleus”, in which new elements 
are built up out of old in a manner much like the building of chemi- 
cal compounds out of the elements by the chemist. 

Working in Washington, D. C., M. A. Tuve, L. R. Hafstead, and 
O. Dahl have successfully used for many varied experiments in 
atomic disintegrations a Van de Graaff generator bualbs on a smaller 
scale and operating at 2,000,000 volts. 

All cases of nuclear fated eeacose so far studied, whether they 
are stimulated by natural projectiles from radioactive bodies or by 
the much stronger projectile-beams produced artificially, show pro- 
nounced differences from the ordinary chemical reactions studied by 
the chemist. The first difference is that in the nuclear reactions the 


246 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


number of individual atoms entering into the reaction is smaller by 
many orders of magnitude than those ordinarily involved in chem- 
ical reactions. The second is that for each atom that is involved the 
nuclear reaction is much more energetic, an amount of energy being 
often liberated which is a million times greater than that liberated by 
the most violent chemical reaction, as, for example, by the explosion 
of dynamite. Because the atoms involved in the nuclear reactions are 
so relatively few in number the most sensitive and elaborate forms 
of physical apparatus must be employed for their detection; but, 
fortunately, owing to the extremely high energies given to the par- 
ticle in such reactions, it is often possible to count and measure, 
individually, single atoms formed in the disintegration. 

A further consequence of the small number of atoms participating 
in a nuclear reaction is that the total amount of a new element that 
can be produced is extremely minute. This is illustrated by the fact 
that if today’s most efficient apparatus, adjusted to produce helium 
out of lithium and hydrogen, were operated continuously for 100 
years it could produce at the best only a fraction of a penny’s worth 
of helium, whereas the power cost would approach $1,000,000. The 
physicist has not as yet learned how to produce new elements in bulk. 


INDUCED RADIOACTIVITY 


In 1934 Curie and Joliot reported the fact that many of the light 
elements, after bombardment by alpha particles, were found spon- 
taneously to emit positrons. After the alpha-particle bombardment 
ceased, the emission of positrons continued. Curie and Joliot had 
found how to make inert substances radioactive; and, appropriately 
enough, the daughter of the discoverer of radium becomes the co- 
discoverer of artificially produced radioactivity. This discovery is 
of far-reaching scientific importance, and today, less than a year after 
its announcement, radioactive substances artificially produced have 
already shown promise of competing favorably with the rare and 
expensive natural product, radium. 

The technique of producing artificial radioactive substances is quite 
simple. One has merely, for example, to hold a few crystals of boric 
acid close to a radioactive substance which emits alpha particles. 
Some of the alpha particles, in striking nuclei of the atoms of boron 
in the boric acid crystals, will effect a transmutation; and a new ele- 
ment, nitrogen, is born. Nitrogen is an exceedingly common element, 
comprising as it does four-fifths of the earth’s atmosphere; but the 
nitrogen produced in the boric acid differs from the familiar nitrogen 
of the atmosphere in one very important respect. It contains in its 
nucleus one neutron less than does the everyday nitrogen and has 
therefore an atomic weight of 13 instead of 14. 


NUCLEUS OF THE ATOM—ANDERSON 247 


This difference is sufficient to render the nucleus of the new 
nitrogen, or radio-nitrogen as it is called, unstable; and it subse- 
quently disintegrates by the ejection of a positron, after which a 
stable atom of carbon remains. 

The high-voltage tubes and other devices previously described for 
speeding up atomic particles have proved very effective for the pro- 
duction of artificial radioactivity, and a great variety of new radio- 
active elements have been formed and studied. Plate 2, figure 2 
shows a photograph of the paths of positrons ejected from carbon 
after it had been subjected to bombardment by deutons. 

The activity of the artificially stimulated substances decreases with 
time in a manner similar to that of the natural radioactive products. 
Most of the artificial radioactive substances so far produced have a 
half-life—the time required to decrease the activity to half value— 
which varies from a few seconds to several hours, depending upon the 
element produced. Recently the emission of negative electrons as 
well as of positrons has been observed; and, in at least one case, a 
gamma, ray is emitted. 

Although most of the light elements of low atomic weight have 
yielded to atomic transmutations, the disintegration of the heavy 
elements by bombardment with electrically charged particles such 
as protons, deutons, or alpha particles, so far remains unaccom- 
plished because of the exceedingly strong electrical forces which 
must be overcome before a charged particle can enter a nucleus. The 
successful disintegration of the heavy atoms by this means would 
require the application of exceedingly high voltages, unattainable by 
present-day technique. 

Within the past few weeks, E. Fermi, working in Rome, has suc- 
ceeded in inducing radioactivity through bombardment with neu- 
trons. Working with a large number of elements, he found that the 
heavy elements yielded as readily as did the lighter ones. Since 
the neutron has no net electric charge, the intense electric fields sur- 
rounding the nuclei of the heavy atoms provide no protection what- 
ever against neutron bombardment. 

So today practically the whole series of the 92 elements has been 
disintegrated in one manner or another; and dozens of new isotopes 
have been formed, the majority of which are radioactive. It now 
appears quite likely that any element by proper treatment can be 
prepared in a radioactive condition, and the years to come will un- 
doubtedly find widespread tasks for them to perform. 


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PLATE 1 


AN ENERGETIC SHOWER OF POSITRONS AND NEGATIVE ELECTRONS PRODUCED BY 
A COSMIC-RAY PHOTON STRIKING A PLATE OF LEAD. 


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THE APPROACH TO THE ABSOLUTE ZERO OF 
THMPERATURE* 


By F. Simon, D. Phil. 
Clarendon Laboratory, Oxford University; Formerly Professor of Physical 
Chemistry at Breslau 


[With 1 plate] 


Speaking in this building, with all its associations with low tem- 
peratures, a long introduction would be superfluous, but I would like 
to remind you of some data. In figure 1 a temperature scale is given 
in degrees Centigrade, and you see some important fixed points 
marked on it. 

Now is this scale infinite at both ends or not? We know that heat 
consists in the unordered motion of the smallest particles, the atoms 
or the molecules, and the intensity of this irregular motion rises 
with increasing temperature (in an ideal gas it is directly propor- 
tional to it). So it is evident that there will be no limit to high 
temperatures, as there is none to the intensity of the motion, but, 
of course, there will be a lower limit to the temperature scale, at 
the point where the thermal motion stops altogether. This point 
is therefore with justification called the absolute zero. Though it 
has not been reached in experiment, and as we will see later on, it is 
by principle impossible to reach it absolutely, its position can be 
given with great accuracy, and it is found to lie at —273.1° C. A 
rational temperature scale has, therefore, to begin at this point. In 
this scale, the Kelvin scale, the absolute zero of temperature is given 
by the number zero, and any other temperature by adding 273.1° 
to the number of degrees Centigrade. On the right-hand side of 
figure 1 the temperatures are indicated in degrees Kelvin, and you see 
that the boiling point of the most volatile gas, helium, lies about 4° 
from the absolute zero. In figure 2 you see the liquid helium range 
given in more detail. By reducing the pressure over the liquid 
helium, one can easily get down to about 1°. By improving the 
isolation, and using a huge pump, Keesom succeeded in reaching 0.7°, 
which was the lowest temperature obtained until a few years ago. 

1Reprinted by permission from Royal Institution of Great Britain Weekly Evening 
Meeting, Friday, Feb. 1, 1935. 

249 


250 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


I will begin by showing two experiments. The first is the pro- 
duction of a high temperature. It is a very simple experiment that 
you have all done yourselves. I need only switch on an electric 
lamp. By varying the current I get temperatures up to 2,500°. 

In the second experiment I will generate a very low temperature, 
and that is much more complicated. While I could certainly per- 
form the first experiment without any help, the second would be 
impossible without the kind help of Mr. Green, Dr. Kiirti, Dr. Lon- 
don, and the staff of the Clarendon Laboratory, who have all helped 
in its preparation. We will now liquefy helium, making use of a 


"C | Sk 


100 373 BOILING Pt H,O 
HELIUM REGION 
-K 

15 288 ROOM TEMP: 


Oia 273 MECTING: PEON ie eo eRITICAD BE 


4-2 BOILING PE 


—183 JOB OIEIN'G-RS @7 
-195 78 BOILING Pt N, 


1:0 
~253, | /20 BOILING Pt Hz 0-7 — KEESOM 
—269\T, 4 BOILING PE He 
-273 0 0 
FIGURD 1. FiGurRp 2. 


principle about which I will say something later. Now, I should 
like to point out that we start at a temperature obtained with solid 
hydrogen (about 12°), that within the apparatus there is helium com- 
pressed to about 100 atmospheres at this temperature, and that the 
helium will be expanded into a balloon, where we will store it. Dur- 
ing the expansion the helium will liquefy and reach its boiling tem- 
perature, 4.2°. As the helium is enclosed in a metal vessel, I will 
not be able to show it to you, but even if I could, it would not look 
a bit colder than liquid air. This simplified gas thermometer gives 
you a much better measure for the temperature. You saw that it 
pointed first to 12° then, as the helium was expanded and this 


ABSOLUTE ZERO—SIMON 251 


balloon filled, the temperature fell to about 4°. I can also show 
you another proof that we have reached the temperature region of 
liquid helium. 

You have all heard of supraconductivity. This is the name given 
to the phenomenon discovered by Kamerlingh Onnes, that at certain 
temperatures some metals lose their electrical resistance altogether. 
The temperatures at which this happens are very low; they all lie 
below 10°. In a normal substance a current once induced would 
disappear very quickly, as its energy would be absorbed within 
about 1/1,000 of a second by its resistance. In the case of a supra- 
conductor, however, there is no resistance, so that the current goes 
on flowing indefinitely. 

In this lecture room, Professor McLennan * showed you this phe- 
nomenon of a persistent current in a lead ring, which was brought 
from Leiden immersed in liquid helium, so I need not speak about it 
in detail now. For the moment we will only use it to show that we 
really have the temperature of liquid helium. For this purpose a 
lead ring is fixed within the apparatus. Lead becomes supraconduc- 
tive at about 7°, so that now at 4° it is already in the supraconduct- 
ing state. We will now induce a current within this ring.’ 

Before the current was induced a magnetic needle was not affected. 
Now, you see that when I hold it a little above the ring it points 
with its N. pole toward it. This indicates that there is a S. pole 
of the magnetic dipole corresponding to the persistent current. 
Bringing it below the ring, it naturally changes its direction. 

I can show you the existence of this current in yet another way. 
I have here a small coil connected with a galvanometer. When I 
bring it up to the apparatus, you see a ballistic deflection of the 
galvanometer. This is due to the cutting of the magnetic lines of 
force originating in the persistent current, and the magnitude of 
this ballistic deflection is a measure of the intensity of the current. 
So we have here a quantitative measure for the current, and we will 
verify at the end of the lecture that it is steady. 

You see the great difference in outlay for the two experiments. 
For generating 2,500° you have only to connect an electric lamp to 
the mains; for generating —270° you have this decidedly compli- 
cated apparatus—and yet this is certainly the most simple one in 
existence. And we have not yet even taken into account that in the 
second experiment we did not start at room temperature, but at 
—260°. This temperature was obtained by hydrogen which we 
liquefied in the plant in the Clarendon Laboratory in Oxford, and 

2Proc. Roy. Inst., vol. 27, p. 446, 1932. 

® This was performed by switching on a magnetic field, higher than the threshold value 


of lead at this temperature, so, with the field on, no persistent current flowed; reducing 
the field, a current is induced, which now persists as the substance is in the field zero. 


202 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the liquid nitrogen necessary for the hydrogen liquefaction was 
generated in yet another plant. For the first experiment, on the 
other hand, I could get the whole plant in my hand by taking a 
torchlight. 

Now, what makes this big difference? Heat is due to the irregular 
motion of the smallest particles. So to heat a substance means to 
increase its energy but still more to increase the internal disorder 
of its particles. To cool down a substance means to diminish its 
energy but still more to increase the internal order of its particles. 
For example, a gas is in a very big state of disorder, the atoms 
flying in all directions about the space according to their kinetic 
energy, which is proportional to the temperature. Cooling it down, 
it will first liquefy, and a liquid is already a much more ordered 
system than a gas. Cooling it still further, it will solidify; now 
all the mean positions of the particles are given by a crystal lattice, 
and the system is in a state of nearly perfect order, only the thermal 
vibrations of the atoms around their mean positions being still a 
source of some disorder. Cooling down still further, even this 
disorder vanishes more and more. 

So cooling a substance means bringing it into a state of order, 
and it is always much easier to make disorder than to establish order. 
Although you are certainly very familiar with this fact, I will illus- 
trate it by an example. On this tray I have arranged these black 
and white balls in order. It is very easy now to establish a dis- 
order by shaking the tray, but it is impossible to establish any sort 
of order again by shaking, or, to speak more precisely, the proba- 
bility of succeeding is extremely small. Of course, I can establish 
an erder by selecting the balls with my hands; but in the case of a 
system consisting of atoms, this is obviously impracticable and, by 
principle, impossible, too. We have only macroscopic means at our 
disposal. This difficulty of creating order is just what makes the 
big difference. And this is why, even 10,000 years ago, men were 
able to generate very high temperatures—suflicient for melting 
metals—but the low-temperature technique is of a quite recent date. 
Even the ice-cream industry is fairly new, though the temperatures 
involved are not very much below room temperature. 

To generate heat one must, of course, have energy at one’s dis- 
posal, but to transform this energy into the disordered form of heat 
energy presents no difficulty at all. We saw this in the electric lamp, 
but one can do it in a great many other ways; for instance, in a 
candle it is a chemical energy we transform into heat energy, in the 
brakes of a car it is a mechanical one. 

If our example with the balls were absolutely analogous it would 
be impossible to generate a low temperature at all, but luckily it is 


ABSOLUTE ZERO—SIMON 253 


not so, because, unlike our analogy where the order depends only 
on one variable, in a real physical system it depends on many more. 
The most important quantity it still depends upon is the volume. 
Taking the probability of finding an atom within a certain region as 
a measure for the state of order respective to the positions in space, 
it is quite evident that this probability decreases on enlarging the 
space the atom has at its disposal. So in a diluted gas we have a 
great disorder; if it is compressed to a small space, its order is 
increased. 

Now thermodynamics has given us a quantitative measure for this 
state of order of which we have to speak so much now, since it is 
necessary for understanding things later on. This measure is called 
the entropy. I will not trouble you with this quantity, as I know it 
is not a very popular one. I only want to remind you that it is a 
measure for the state of order, and that there is a law, namely, the 
second law of thermodynamics, which telis us that within a closed 
system during any change the entropy can only increase, or at the 
best by making a reversible change (that means avoiding unnecessary 
disorder) it can remain the same. Speaking in our terms now, this 
second law means that in a closed system the state of order can only 
decrease or at the best remain constant. 

Let us see now what this has to do’ with generating low tempera- 
tures. We will take a cylinder with a piston, containing a gas, the 
whole system being perfectly isolated from its surroundings. The 
state of order in this system consists of two parts, one depending on 
the temperature and the other on the volume. Compressing the gas, 
we increase the state of order corresponding to the volume. As the 
whole state of order must remain the same, the disorder due to the 
thermal motion has to increase; that means the temperature rises, 
and you all know that in compressing a gas it heats up, this heat 
being called the compression heat. 

Bringing this system into thermal contact with its surroundings, 
it will cool down to the initial temperature, and so its disorder 
becomes smaller. But, of course, that does not contradict the law I 
spoke of before, because heat is transmitted to the surroundings, so 
increasing the disorder of the particles there. 

Now we will isolate the system again and pull the piston out. 
The part of the disorder due to the volume increases again. The 
whole state of order must remain constant, so the part of the dis- 
order due to the temperature must fall, and that means the tempera- 
ture itself falls. 

That is a characteristic example, and one of the most important 
cases of how to generate a low temperature. Generally speaking, 
whenever one wants to lower the temperature, one must have a 


254 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


system in which the state of order can be changed by some external 
means. Then in the way described above, one is able to transmit a 
part of the original disorder in the system to the surroundings, and 
to cool it down, making the same change of this variable in the 
opposite direction after having isolated it from the surroundings. 

Gases are the prototype of a disordered system, the existence of 
which is necessary for the procedure of generating low temperatures, 
and it is relatively easy with them to change this disorder by chang- 
ing the volume. So practically all procedures for generating low 
temperatures were worked with gases until recently. Of course, one 
can make use of them only down to the temperatures at which they 
liquefy, or more precisely, as long as their vapor pressures have still 
practicable values. So in practice the generation of low tempera- 
tures and the liquefaction of gases have become practically identical 
conceptions, and every step toward a lower temperature has been 
marked by the feat of liquefying a gas with a lower boiling point 
than was previously possible. 

I will not speak now of the development of the real procedures 
performed with gases in order to liquefy them, which, for technical 
reasons, have to be much more complicated than the example I gave 
you. I need only remind you of the names of Faraday, Cailletet, 
Pictet, Olzewski, Linde, Hampson, Dewar, Claude, and Kamerlingh 
Onnes. You know that it is now relatively easy to get down to the 
temperature of liquid air, as the liquefaction of air has become im- 
portant for industrial technique. But I want to mention that to 
cool by one calorie at even such a relatively high temperature as 
that of liquid air is already 500 times as expensive as to heat by a 
calorie above room temperature; for instance, by burning benzine. 
But at lower temperatures the difficulties increase enormously, so that 
the use of liquid hydrogen has been restricted to a few laboratories 
and that of liquid helium to still fewer big specialized laboratories. 

In recent years the study of the properties of matter at very low 
temperatures has become increasingly important; and so, of course, 
one has sought for ways of simplifying the low-temperature tech- 
nique. We have in the last few years developed a comparatively 
simple method for liquefying helium, which I have shown you al- 
ready, and now I should like to say a few words about it. The pro- 
cedure of expanding a gas in a cylinder, in the way already de- 
scribed, is very simple. But at the very low temperatures it is diffi- 
cult to realize technically a cylinder and a piston. 

But one can overcome this difficulty in a very simple way, which 
I will now explain. In figure 3, A, we have a gas enclosed in a 
cylinder with a piston. Upon pulling out the piston the gas will 
cool down. In figure 3, B, you see the cylinder divided into two 


ABSOLUTE ZERO—SIMON DATS) 


parts connected by a tube. Upon pulling out the piston now the gas 
will cool everywhere because this cooling is a homogeneous pro- 
cedure. Let us cool now only the lower part to the low initial 
temperature, at where we start (for example, to the temperature of 
liquid hydrogen if we want to liquefy helium), leave the upper part 
at room temperature, and pull out the piston again. Then the gas 
will cool down within the lower part the same as if the upper part 
were at the low initial temperature too. The atoms in the lower 
part do not know whether the upper part is hot or cold and the 
atoms do not know either if there is a cylinder and piston outside. 


a 


ear 


—————— 


— 


iy 


A B Cc 


Ficurn 3.—Principle of the expansion method. 


We get the same effect if I simply let it out by a valve, as in figure 
3, C. I want to emphasize that the cooling arises within the cyl- 
inder, and not at the valve, as in the Linde process. The procedure 
described above has nothing to do with the Linde process, but it has 
more resemblance to the Cailletet method. You remember, perhaps, 
that he let a gas expand in a glass capillary tube, and with some of 
the so-called “ permanent gases” he could then see a little dust of 
liquid drops, indicating that for some fraction of a second the 
temperature had fallen considerably. 

Now, starting at high temperatures, the cooling effects obtained in 
this way are very small. The chief reason for this is that a container 
for high pressures has, at room temperatures, a heat content that is 


256 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


always big compared with that of the gas. Starting at low tempera- 
tures, however, the situation changes absolutely. Firstly, one gets a 
much bigger amount of gas into the container at a given external 
pressure, according to the gas laws, and secondly, the specific heats 
of all solid bodies drop with temperature, disappearing on approach- 
ing absolute zero. So for instance, at a temperature of about 12°, 
1 cubic centimeter of helium gas compressed to 100 atmospheres 
has the same heat capacity as 1 kilogram of copper. This means 
we can neglect the heat capacity of the walls altogether, and we 
have the advantage of working with mathematical walls. Thus, the 
efficiency of the procedure, as I described it to you, becomes very 
high, and working with suitable dimensions and a good isolation, 
it is easy to keep the low temperatures, too. For instance, under 
the conditions realized in this apparatus, about 60 percent of the 
volume originally filled with the compressed helium remains filled 
with the liquid phase, and in the apparatus we generally use we 
can raise this efficiency still much higher. 

In this way one could liquefy any quantity of helium. But as 
the specific heats at low temperatures are so very small, only tiny 
amounts of liquid helium are really necessary for cooling down the 
apparatus and making measurements for a number of hours, if the 
apparatus is designed in a suitable way. For example, in this ap- 
paratus we have liquefied about 50 cubic centimeters, which is suffi- 
cient to cool down the whole system and to work for about 5 hours. 

In figure 4 you see a rough plan of the apparatus. Outside is the 
vessel D with liquid hydrogen; inside, the space S that is evacu- 
ated. Within this you see the container C that is first filled with 
compressed helium, and after the expansion with liquid helium. 
Attached to this container is a gas thermometer G, the readings of 
which you saw before. 

To cool the apparatus down further, one could reduce the pressure 
over the liquid helium; the temperature must then fall till it cor- 
responds with the vapor pressure of the helium. For purely technical 
reasons we do not do this, but we have a second vessel E that we can 
fill with liquid helium by letting helium gas through the tube T. 
Then it condenses in the tube T where it is in contact with C, and 
drops down into the vessel. By pumping through T now, we reduce 
the vapor pressure, and therefore the temperature falls. This vessel 
and the surrounding Dewar vessel are of this peculiar shape because 
we will afterwards apply magnetic fields to some substance situated 
in the vessel, and, of course, one can generate strong magnetic fields 
over a small distance more easily than over a big one. Now, we will 
pump off the helium in this vessel, in order to reduce the temperature 
here, and the temperature will fall below 2° within a short time. 


ABSOLUTE ZERO—SIMON 257 


Before we consider the methods of 
generating still lower temperatures, I 
want to refer briefly to the measure- 
ments of these temperatures. You know 
that, in general, one measures tempera- 
ture by the pressure of a diluted gas, 
using it as a substitute for an ideal gas. 
But at the lower limit of the liquid he- 
lium range the only existing gas, the 
helium, is stable only at a pressure so 
small that it is of no use for a thermom- 
eter. In this region one can use another 
phenomenon for measuring the tem- 
perature. 

The thermometer that I want to speak 
of now is a magnetic one, and it depends 
on the fact that paramagnetic suscepti- 
bility is a function of temperature. In 
a paramagnetic substance there exist 
little elementary magnets, which we will 
assume for the moment to be perfectly 
free to point in every direction in space. 
The thermal agitation has the effect of 
making the directions of these elemen- 
tary magnets have a random distribu- 
tion. Applying a magnetic field, it will 
try to turn them in its direction; on the 
other hand, the thermal agitation tries 
to establish a disorder with respect to 
the direction of the dipoles. There will 
be a compromise of these two effects, 
and it is evident that the lower the tem- 
perature, that means the lower the ther- 
mal agitation, the more magnetized the 
substance will become. Calculating this 
numerically, one finds that in such a 
substance the magnetic susceptibility 
would be proportional to 1/T. That is 
the famous Curie Law, which was de- 


——— 
a 


y 
Q 
N 
N 
\ 
\ 
-B 
N 
4 


v 


Ficurn 4.—Simplified diagram of 
the apparatus. 


rived primarily for paramagnetic gases, because there the single 
elementary magnets connected with the atoms or molecules are cer- 
tainly perfectly free. At first sight one might think that within 
a solid body the condition of free elementary magnets could not be 
realized. But experiments, made chiefly in the Leiden Laboratory, 
have shown that there are some paramagnetic salts which follow 


258 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Curie’s Law down to the helium temperatures with great accuracy, 
and this means that the elementary magnets within them have a very 
high degree of mobility. The salts concerned are especially those of 
the rare earth and iron groups. I cannot go into a theoretical ex- 
planation of this behavior, but I want to mention that it is in accord- 
ance with our theoretical ideas. 

So it is easy to construct a thermometer with such a paramag- 
netic substance, using its susceptibility as a measure for the temper- 
ature. And it is evident that a thermometer of this kind becomes 
very sensitive at low temperatures. For example, between 4° and 1° 
the susceptibility changes in the proportion 1:4. We have a ther- 
mometer of this kind in our apparatus. We measure the suscepti- 
bility by bringing a system of two coils around the place where, in- 
side the apparatus, the salt is situated, and sending an alternating 
current through the primary coil; the induced e. m. f. in the second- 
ary depends on the susceptibility of the salt which is fixed within 
these coils. This induced e. m. f. is amplified in a little set (which 
the Cambridge Instrument Co. have very kindly lent me for the 
demonstration) ; then it is rectified and sent to a galvanometer that 
shows the deflections on this scale. Of course, the system is com- 
pensated in such a way that the deflection zero corresponds to a sus- 
ceptibility zero within the coils. Thus the deflections on the scale 
are a direct measure of the susceptibility, and as this changes with 
1/T, the deflections are proportional to 1/T. At the moment the 
thermometer is showing about 2°. 

Now we can continue considering how to approach nearer to the 
absolute zero. As I have mentioned already, the lowest temperature 
reached by reducing the vapor pressure of liquid helium is 0.7°. At 
this point the vapor pressure is so small that it is in practice impos- 
sible to proceed further. A gas with a still lower boiling point does 
not exist. Very probably the new helium isotope, helium 3, dis- 
covered in the Cavendish Laboratory, will be more suitable for 
reaching low temperatures, if it can ever be obtained in sufficient 
quantities, but there will be no difference in the order of magnitude. 

You may be wondering why we should bother to get still nearer to 
absolute zero, as it seems so diflicult now to get down any further. 
What can still happen in this small region? To answer this ques- 
tion we have to ask another. When can one predict that some- 
thing will happen in a certain temperature region ? 

Let us assume that the phenomenon we are interested in is con- 
nected with an energy change of a certain quantity. Then the 
thermal agitation will have an influence on it when it itself reaches 
this order of magnitude. So we see that from this point of view 
there is no sense in speaking of an absolutely high or an absolutely 


ABSOLUTE ZERO—SIMON 259 


low temperature; it is always necessary to compare it with the 
phenomenon in which we are interested. For instance, room tem- 
perature is a very low temperature if we look for the evaporation of 
diamond, because its heat of evaporation is very high (1. e., only at 
high temperatures is the thermal agitation big enough to push a 
carbon atom out of the crystal). But room temperature is a very 
high temperature if we look for the evaporation of hydrogen, as 
its heat of evaporation is very small. So the question is, are there 
any phenomena connected with very small energy changes; that 
means, phenomena which will still happen at very low temperatures? 

If the atoms were only points possessing attractive or repulsive 
forces, then certainly nothing much of interest would happen within 
the new region. The thermal agitation would become smaller, but 
this would not give rise to any new phenomena. However, we know 
that although in the kinetic theory it was for a long time sufficient 
to treat the atoms as points with attractive and repulsive forces, yet 
this is certainly not a complete picture. We know that the atoms 
are built up from nuclei and electrons. Im general one is accus- 
tomed to find the effects of this complexity of the atoms only in gases 
at high temperatures, as most of them are connected with big 
changes of energy. It is true that at normal temperatures the effects 
originating in the complexity of the structure of the atom are not 
very striking in a solid body, but certainly some do exist. For in- 
stance, we spoke just now of the magnetic properties of some salts. 
If the atoms were only points with forces, they could not show any 
magnetic properties. These are due to the motion or the spin of the 
electrons, and here we have one effect of the structure of the atom. 
We have seen already that this effect becomes more and more strik- 
ing as the temperature is lowered. We have also considered another 
phenomenon that would not have been possible if the atoms had 
only been points. A system of points could not show metallic con- 
ductivity. That is due to electrons split off the atoms within the 
metal, and we have seen that with these electrons, something happens 
only at very low temperatures, namely, supraconductivity. Here 
some change takes place connected with an energy difference of such 
an order of magnitude that it becomes equal to the thermal agita- 
tion only at very low temperatures; and I may mention that at 
present it is not known what exactly is happening in the metal. 

It would be very important to see whether at still lower tempera- 
tures all metals become supraconductive; that is, whether it is a 
general property of all metals. 

So we see that it is of interest to extend our temperature range to 
lower temperatures, and we will find later on that there are still more 
phenomena that can be expected to take place below 1°. 

36923—36——18 


260 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


But in order to go lower, how can we proceed? As we discussed 
before, to get a low temperature one must have a system at one’s 
disposal which is still in a big state of disorder, and one must be 
able to change this disorder by changing an external variable. At 
these temperatures we no longer have gases. What other disordered 
systems still exist? Well, we have just seen one, namely, the para- 
magnetic salt which still follows Curie’s law; and about 10 years 
ago Debye and Giauque proposed using this for the generation of 
still much lower temperatures. 

To understand the principle, look at figure 5, which represents a 
paramagnetic salt. The circles represent the atoms arranged in a 
crystal lattice, and the little arrows represent the magnetic mo- 
ments attached to every atom. Without a field (fig. 5, A) there ex- 
ists, as we saw before, a random distribution of the directions of the 


Bic) aD eGR Ney ea ay 
ID), SS) nese nc al 


DODD sia 
DOOD won « 


Ficurn 5.—Principle of the magnetic cooling method. 


dipoles, so the disorder in this system consists of two parts; one is 
due to the distribution of the directions of the dipoles, and the 
other to the thermal motion of the atoms. (The diameters of 
these circles indicate the magnitudes of the vibrations and give 
also in this way a measure for the disorder due to the thermal vibra- 
tions.) Applying the field now (fig. 5, B) it will try to order 
the directions of the dipoles. Making it adiabatic—that is, having 
the system isolated thermally from its surroundings—the whole state 
of order should remain constant, which means that the disorder due 
to the thermal movement must increase, in other words, the tem- 
perature rises (corresponding to the compression of the gas in our 
former example). Making heat contact with the surroundings, the 
system cools down to the initial temperature, so that now the state of 
order has increased (fig. 5, C). Now, isolating the substance from 
the surroundings and taking the field away, the dipoles try to dis- 
tribute their directions at random again, the disorder due to this 


ABSOLUTE ZERO—SIMON 261 


increases, but as the whole state of order must be constant the tem- 
perature must fall (fig. 5, D). (Corresponding exactly to the adia- 
batic expansion of the gas.) 

Within the last few years this method has been used experimen- 
tally, and at nearly the same time Giauque and MacDougall in Cali- 
fornia, de Haas and Wiersma in Leiden, and Dr. Kiirti and I began 
to work with it. We developed the technique so that it is now fairly 
easy to work with this procedure, and we can show you an experiment 
with it here in this room. 

We will look once again at figure 4. There you see within the 
lower vessel two different paramagnetic salts A and B, so that we 
can do two different experiments. To carry out the cooling by this 
method one has to have the substance in thermal contact with the 
surroundings when the field is switched on and isolated when the 
field is switched off. We do this automatically by suspending the 
substance in a little glass tube closed at both ends and filled with 
about 1 cubic centimeter of helium at room temperature. This gas 
makes a heat contact with the surrounding helium bath during mag- 
netization. Upon switching the field off the substance cools quickly, 
and the helium gas has to condense on it, as the vapor pressure falls 
rapidly with falling temperature. Choosing the right dimensions 
and vacuum conditions, one can in this way use the cooling substance 
itself as a pump. 

Now we will begin with an experiment,‘ taking first the upper 
substance, A,manganese ammonium sulphate. We bring the magnet 
into position and switch on a field of about 10,000 gauss. We have 
to wait now for about a minute until the heat of magnetization is 
carried away. Next we remove the magnet and bring the coils for 
the temperature measurement into position. The substance has 
cooled down, the thermometer points to about 0.25°. At the same 
time you notice that the temperature keeps quite steady. 

We will now make another experiment with the lower substance, 
B, iron ammonium alum, and the same field. We have now reached 
0.1°, and you see that again there is hardly any change of tem- 
perature. 

Now we will look at table 1, which gives the vapor pressures of 
helium at different temperatures. Although they have not been 
measured experimentally, these figures are very accurate, since we 
have all the necessary data at our disposal for calculating the vapor 
pressures according to the second law of thermodynamics. You see 
that at 0.1° the vapor pressure is 10-*4, and at 0.25 it would be about 
10-*, so that there is practically no gas which could transmit heat 

4During the lecture a wire of the thermometer circuit broke, so that the experiment 


could not be performed. However, it was shown to a large number of the audience three- 
quarters of an hour later when the trouble had been repaired. 


262 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


from the surroundings. At 0.5°, however, we have a vapor pres- 
sure 10°, which is no longer negligible. In this case the substance 
would warm up much more quickly, and so we have the paradox 
that it is much easier to keep a temperature below, let us say, 0.3°, 
than one above this temperature.® 


TABLE 1.—Vapor pressures of helium 


de p (mm) 
Tht (Qa rt aes oe ot at ek ey ot en are Tere <r ee heh aeew roti Sippel 1.51077 
at ke ae a Be a I 3.2<10- 
Fs See ea a Pay oT de Se RL RO ene ne wenwie ye Hy Ce | Zale 
SY a gi Be ee ira MENS fe aD nahi, ANIL Dei lll ae te Bae ~ Selo 
CU Oia ie Ai Me ae eee Gas chalet tn A leemtehe ae es el SS 3 SGlOne 
C1 $1 [Acedia eR ACTS Sed Pme hs 23 meee 4 ee 2k ree ys wa pee OT ANeye PaO ele Thee LSA Tse 3) O5<1Oa 
OOD es bet, Five tes yo ergacrr dl 2 eee iro rt pi on A kien he i 4 x10 
OS 08 2 ab ne eS eB Sk BF a ate ae 6... <i0ne 


At these very low temperatures one can get any isolation one likes; 
for instance, at 0.03° we have a vapor pressure of 10°. The sur- 
roundings of the substance are at a temperature of about 1°, where 
the radiation is certainly negligible, and one can make the suspen- 
sion so that very little heat is conducted to the substance. Thus we 
have really no difficulty in keeping temperatures as long as we like, 
even working with very small amounts of substances. 

You saw that using different paramagnetic salts, we reached dif- 
ferent final temperatures, which means that all substances are not 
equally good for this method. Of the many substances we investi- 
gated, iron ammonium alum was found the most suitable, and with 
it we have got down to about 0.04°, using a field of 14,000 gauss. 
De Haas reached 0.015° with this procedure, using potassium chro- 
mium alum, and having the huge magnet of the Leiden laboratory 
at his disposal. 

I may remind you that the temperature of a material body in the 
interstellar space cannot fall below 2° or 3° K., as it always has 
to be in equilibrium with the stellar radiation. So you see that in 
this case we can realize in the laboratory a lower temperature than 
we can find in nature, and we can surpass the conditions found in 
nature in still another way. We will look once again at the table 
of the vapor pressures of helium, the most volatile gas existing. In 
the interstellar space there is a vacuum of about 10°? cm Hg. You 
see that we have already reached this pressure in a space surrounded 
by a body at a temperature of about 0.15°, even when it is filled 
with the most volatile gas. At 0.03° the pressure would be so small 
that in the whole Galaxy we would not find one single atom in 
equilibrium with it. So, in the directions of low density and low 

5 Of course, one could establish a vacuum by means of pumps, but at low temperatures 


the helium is absorbed in big amounts on the walls, and it would take a very long time to 
obtain a sufficiently high vacuum. 


ABSOLUTE ZERO—SIMON 263 


temperature, we can surpass in the laboratory the conditions found 
in nature, whereas, in the opposite direction it is extremely unlikely 
that we will ever reach the high temperatures and big densities to be 
found in the stars. 

There is not much point in generating low temperatures simply 
for the fun of playing among the low figures. How can one make 
investigations on substances other than the paramagnetic salts? 
The most simple way is to press the paramagnetic salt and the 
substance to be investigated together, so that they form a solid pill. 
In cooling down the salt, the substance cools with it. In this way 
we examined a lot of metals to see whether they became supracon- 
ducting or not, and three new supraconductors were found in the 
new region. Some other metals, however, did not become supra- 
conducting down to 0.05°. 

At the same time these measurements showed us still another thing. 
Cooling an additional substance with the paramagnetic salt and see- 
ing how far the temperature is lowered in demagnetizing, compared 
with the temperature reached in demagnetizing the pure salt, one 
can measure the specific heat of the additional substance, and see 
whether anything happens within the new temperature region. If 
there is any change of energy within the substance that is equal to 
the thermal agitation in the new region, then it should be seen in 
these specific heats. And there is a very definite thing that must 
be expected to happen in this region. As is known from the analysis 
of the atomic spectra, there is an interaction of the magnetic 
moments of the nucleus with that of the electrons, chiefly the valency 
electron. Asa result of this, the ground state of the atom is split 
up, and the energy difference between the different levels is of such 
an order of magnitude that the new temperature region is charac- 
teristic of it. We have already got some results in this direction, 
but it would be proceeding too far now to go into details. 

You saw that within this new temperature region there really 
are things that still happen, and it is not only a game with low 
temperature figures. One can also say that it will be both necessary 
and interesting to investigate temperatures lower than those yet 
reached. 

What imposed the limit to the temperatures reached above? It 
should be possible to get down to any temperature if the dipoles 
in the salt were perfectly free, because then, even as near to absolute 
zero as one likes, there would be a random distribution of the mag- 
netic dipoles, and we would always still have a means of lowering 
the temperature. But here the same thing happens as in the case 
of gases. If we had still a gas at these very low temperatures, we 
could certainly use it for lowering the temperature, but no more 


264 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


gas exists, because there are forces between the atoms that cause the 
system to pass over to a state of order—the crystal—and there is no 
longer any disorder that we could make use of for lowering the tem- 
perature. In the paramagnetic salt the same thing happens, only at 
temperatures about 100 times lower. In them there also exist 
interaction forces which have the effect of establishing an order 
within the system without an external magnetic field, and so at these 
temperatures the paramagnetic salts cease to be of use. These tem- 
peratures differ, of course, from substance to substance, and we saw 
in our experiments that the manganese ammonium sulphate passed 
over into this state earlier than the iron ammonium alum. Of 
course, one could get a bit further by using still stronger magnets, 
but I think the practicable limit has been reached with the dimen- 
sions of the Leiden magnet. 

A more hopeful way seems to be to work in two stages. That 
means, first work down to about 0.05°, and then, starting at this tem- 
perature, go still lower with a new procedure, like the cascade for 
liquefying gases, which was used so much in the past. Of course, to 
get to appreciably lower temperatures for the lower stage it will be 
necessary to find a substance in which these interaction forces, which 
tend to bring the system into an ordered state, are still smaller than 
within the substances hitherto used. I have already said that the in- 
teraction forces between the nuclear moments and their surroundings 
are very small, and in the second stage one will have to try to work 
with a substance that exhibits nuclear paramagnetism. 

But even here there are some interaction forces, and so this will 
only work for a bit of the way to absolute zero. And with all other 
phenomena that may still happen in the new temperature region, it 
will certainly be the same. There exists a law, Nernst’s Theorem, also 
called the third Jaw of thermodynamics, which is confirmed by all 
experiments. It postulates that at absolute zero all substances are in 
a state of perfect order, or, in other words, that the state of lowest 
energy must be a state of perfect order. And we know now that this 
means that it will be impossible ever to reach the zero of temperature 
absolutely. But this does not mean that one cannot get below a cer- 
tain limit, say 1/10,000°. It will be possible to reach any finite tem- 
perature, be it as small as you like. But the technique of reaching 
such a temperature will always be dependent on finding a phenome- 
non, connected with only a very small energy change, happening 
within a system. And so you see that this last degree, or, as we may 
say now, the last 1/100° to absolute zero, though absolutely very 
small, stretches in reality an infinite distance before us. And this 
infinity is not an empty one, but one that is filled with phenomena 
worth investigating. 


Smithsonian Report, 1935.—Simon PLATE 1 


THE APPARATUS. 


In the middle the Dewar vessel containing the liquid hydro 
mersed; at the top the gas thermometer, indicating the temperature of the helium liquefier. On the 


gen in which the helium apparatus is im- 


thin part of the Dewar vessel are the coils for measuring the susceptibility of the s 
corner the magnet, which can be moved to surround the lower part of the Dew 
the balloon into which the helium is expanded can just be seen. 


alt; in the right bottom 
ar vessel. On the left, 


DISCOVERY AND SIGNIFICANCE OF VITAMINS * 


By Sir Freperick GOWLAND Hopkins, P. R. §. 
Sir William Dunn Professor of Biochemistry, University of Cambridge 


Until the end of the first decade of the present century official 
teaching concerning the nutritional needs of the human body was 
still based on the results of classical studies by Carl Voit and Max 
Rubner and on the views of the Munich School thence derived. The 
adequacy of a dietary was measured in terms of calories and protein 
alone. It was generally believed, alike by the academic physiologist 
and by those concerned with practical dietaries, that questions of 
palatability and digestibility apart, so long as the food of an indi- 
vidual provided sufficient potential energy for the activities of his 
internal organs and for the external mechanical work he might be 
called upon to do, the only demand of a more specific kind made by 
his body was for a certain, rather ill-defined, minimum of protein to 
subserve the growth and maintenance of its tissues. Beside the 
carbohydrates, fats, and proteins which provide these essentials, 
natural foods were known, of course, to contain a variety of other 
substances. These, however, are present individually in very small 
amount, and except for certain minerals among them, necessary for 
the formation of bone and for the maintenance of particular physical 
conditions in the body, they were assumed to be without nutritional 
importance. 

Facts, nevertheless, were already known which might well have 
suggested that the body makes calls upon its food to supply needs 
more subtle and more specific than those thus recognized. The his- 
tory of scurvy, for example, and the clear demonstration made 
already in the eighteenth century of the dramatic cure of that fell 
disease which follows upon suitable, though relatively very small, 
additions to an errant dietary, should, it would seem, have provided 
a strong suggestion for the existence in certain foods of a substance 
small in amount but with highly specific properties essential for the 
support of normal nutrition; that is, for the existence of what we 
now define as a vitamin. But, unfortunately, the views of the 


1 Reprinted by permission from Nature, vol. 135, no. 3418, May 4, 1935. 
265 


266 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


majority concerning the influence of antiscorbutic foods remained 
for many years vague and obscure. It was attributed to such quali- 
ties as “freshness ” without further analysis of these qualities, or 
to known constituents without proof of their efficacy. True, so far 
back as 1841, an American physician, G. Budd, had ascribed the 
action of such foods “ to an essential element which it is hardly too 
sanguine to state will be discovered by organic chemistry or the 
experiments of physiologists in a not far distant future.” Had 
organic chemists or physiologists been then stimulated by this ob- 
jective view to seek for a definite substance in such well-known 
antiscorbutic materials as, say, lemon or orange juice—a substance 
which, when isolated, could display by itself the antiscorbutic pow- 
ers of these fruits—it is likely that a realization of the significance 
of vitamins might have come long ago; but current thought con- 
cerning nutrition was not yet prepared to profit from such sug- 
gestions. 

Scurvy, of course, is now recognized as one of a group of so-called 
“ deficiency diseases ”—pathological conditions in each of which a 
group of symptoms is displayed, directly due to the lack of some 
necessary nutritional factor. It was in 1897 that evidence for the 
existence of another such disease was clearly revealed. Eijkman, 
a Dutch hygienist, had been led by extensive observations to the 
belief that the disease beriberi was associated with the consumption 
by human communities of polished rice as a basal food. He then 
found that it is possible to produce an illness in fowls similar to 
beriberi by feeding the birds on polished rice, and he was further 
able to prevent or cure it by administering an extract of rice polish- 
ings. The discovery that the disease could be thus produced and 
cured experimentally greatly assisted its study; just as the later 
observation of Holst and Fréhlich that the guinea pig rapidly dis- 
plays the symptoms of scurvy when placed upon scorbutic diets, 
while promptly cured by antiscorbutics, made easy the experimental 
study of the latter disease and provided a ready biological test for 
the presence and relative amounts of the curative agent in various 
foods. 

The explanation first offered by Eijkman for the production of 
beriberi during the consumption of polished rice was to the effect 
that the condition is a state of intoxication brought about by the 
consumption of excessive quantities of starch, and that in the so- 
called “silver skin” which is removed by polishing, though not in 
the bulk of the grain, there is a substance which counteracts the toxic 
products of the disturbed metabolism. This hypothesis was far- 
fetched and inhibitory, but the conception of disease as the direct 
result of a specific deficiency in food was foreign to the thought of 


VITAMINS—HOPKINS 267 


the time. Later, however, partly owing to the work of others and 
partly to extended experiments of his own, Eijkman came to the 
definite conclusion that there is present in rice polishings an indi- 
vidual substance differing from the then known food constituents, 
but essential to normal nutrition, though required in very small 
amount. Even before Eijkman himself had come to this final con- 
clusion, the work of others had made it probable, and by 1910 the 
significant facts had become fully established. Among those whose 
work contributed to their establishment must be mentioned: Grijns, 
a countryman of Eijkman; Vedder and Chamberlain, of the Amer- 
ican Medical Service; and the British investigators Fraser and Stan- 
ton, whose investigations were carried out in the Malay States. All 
of these helped to prove that the preventative of beriberi is a definite 
chemical substance, and the last mentioned in particular took pioneer 
steps which were ultimately to lead later workers to a successful 
isolation of that substance. 

Those who worked on beriberi during these years thought and 
wrote as pathologists, with their attention primarily directed to the 
causation and cure of a particular disease. Though doubtless the 
suggestion for an extension of the kind of knowledge gained was 
ready to hand, as a matter of fact their writings at first contained no 
reference to the possibility that substances with the properties we 
now attribute to vitamins might function widely and prove to be 
necessary for the support of such fundamental physiological proc- 
esses as growth itself. 

This more general and more physiological conception of the func- 
tions of vitamins arose directly from the results of feeding animals 
on experimental diets. If the assumption were right that proteins, 
fat, and carbohydrates, together with essential minerals, are the 
sole nutritional necessities, then these materials should support all 
the functions of the body when each of them is supplied in a pure 
form, no less adequately than when, in natural foods, they are con- 
sumed in association with small amounts of many other substances. 
The nutritional value of such purified materials supplied in artificial 
dietaries was at one time the subject of many experiments. The re- 
sults of these were uncertain and contradictory, owing to the fact 
that purification was often not complete. It was not then realized 
that substances present in extremely small amount may profoundly 
affect the value of a diet. It is this circumstance that our present 
knowledge of vitamins has made so clear. In 1906-7 the writer 
engaged in feeding rats upon highly purified materials of the above 
kind, and found them wholly unable’to support health or normal 
growth, though certain additions, very minute in amount, greatly 
increased their nutritional adequacy. It happened that yeast ex- 


268 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


tracts were among the addenda which were successful in this respect, 
but only, as is clear today, because the fat employed in these experi- 
ments was filtered butter fat. We know now that butter itself con- 
tains certain of the essential vitamins, while yeast supplied the 
others. These experiments confirmed a personal belief in the im- 
portance for nutrition of minor constituents in natural foods, and 
public expression was given to this belief; but the experimental 
results were not then published. 

In the autumn of 1911 the results of later experiments were com- 
municated to the Biochemical Society, and these were published in 
the following year in a paper which made a general claim for the 
“importance of accessory factors in normal dietaries.” Funk at 
about the same time impressively summarized the then available 
knowledge concerning deficiency diseases, and proposed the name 
“ vitamine ” for the substance of which a lack might in each case be 
presumed to produce the pathological condition. On chemical 
grounds J. C. Drummond suggested that the final “e” in Funk’s 
proposed name should be omitted, and this has become customary. 
By 1912, then, there was fully adequate evidence for the wide im- 
portance of vitamins, and from that time progress in their study 
has been continuous. 

Immediately before the war and until near its end, American in- 
vestigators were the chief contributors to this progress. T. B. 
Osborne and L. B. Mendel at Yale and E. V. McCollum at Wisconsin 
(afterward at Johns Hopkins University) were separately engaged 
upon nutritional experiments with artificial dietaries. For a little 
while after the present writer’s publication in 1912, these workers 
were not fully convinced of the necessity for a vitamin supply. 
Osborne and Mendel believed for some time that they had succeeded 
in maintaining rats upon purified diets. Soon afterward conviction 
came, and important contributions to the subject were made at both 
centers. In particular, American studies produced at this time proof 
that vitamins existed in natural foods in different associations, and 
led to a distinction between “fat soluble” and “ water soluble” 
individuals; a distinction which, though in itself not of fundamental 
importance, greatly helped later developments in the subject, many 
of which have been due to workers in America. 

During the later stages of the war, when many nutritional prob- 
lems had to be faced, intensive studies began at the Lister Institute 
in London. These comprised pioneer work by A. Harden and S. S. 
Zilva, and the important experiments of Harriette Chick and her 
colleagues, which have continued to the present day. At this time, 
University College, London, became also a center of activity owing 
to the work and influence of J. C. Drummond, while the classical 


VITAMINS—HOPKINS 269 


experiments of E. Mellanby on the production of rickets were already 
in progress. A few years later, interest in the subject penetrated 
into every European country, and research became everywhere very 
active. Recently, publications dealing with vitamins have reached 
a total of a thousand in a single year. 

Today we have knowledge of some eight or nine vitamins, each 
proved to have its own specific influence in maintaining the normal 
course of events in the living body, and each exercising its func- 
tions when in exceedingly small concentrations. Happily the actual 
chemical constitution of some of them is now known. 

It is, of course, impossible in a brief review to recount all the 
stages of discovery in the case of each of these substances. The 
existence of individual vitamins, each with its special influence in 
the body, has in the majority of cases been revealed by the experi- 
mental feeding of animals on the following general lines. Natural 
products or preparations—crude when experiments began—from nat- 
ural sources, animal or vegetable, when simultaneously added in 
characteristically small amounts to a vitamin-free dietary, were 
found to render it capable of supporting normal nutrition. The 
tendency at first was to assume that each effective addendum con- 
tained one active ingredient. The next step in progress, however, 
involved the fractionation of each crude preparation, and this in 
many cases revealed the presence of more than one vitamin, with 
obviously distinct functions, each calling therefore for separate en- 
deavors toward its isolation and purification. It may be mentioned 
in illustration that yeast, which, because it represents a concentrated 
mass of living cells capable of active growth, and at the same time 
is available in large amounts, was early and justifiably looked to as a 
probable source of vitamins, has yielded some of them in a complex 
which even today has perhaps not been fully analyzed. 

The position of knowledge at the present moment will be made 
sufficiently clear if the most salient characteristics of each recognized 
vitamin are very briefly reviewed. Unfortunately, it is impossible 
at the same time to give credit to the many who have shared in the 
heavy labors involved in the remarkable recent advances in the 
subject. 

Vitamin A.—This vitamin is found in association with animal fats 
and exists in specially high concentration in the livers of fishes. It 
was discovered and studied in cod-liver oil and at first was not 
distinguished from vitamin D, but by 1922 it had become clear 
that there were two “fat soluble” vitamins with functions entirely 
distinct. 

Vitamin A exerts an important influence in the body. In its ab- 
sence young animals fail to grow. Lack of a proper supply leads to 


270 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


degenerative changes in the epithelial cells which line the outer sur- 
faces of the body, and among the characteristic symptoms which fol- 
low upon such a lack is a pathological condition of the eyes known 
as xerophthalmia. As an independent phenomenon, night blindness 
may occur. Very noteworthy is the evidence which shows that an 
adequate supply of this vitamin protects against certain types of in- 
fection. One of the most interesting advances in our knowledge of 
vitamins is the recent proof that vitamin A is closely related chemi- 
cally to the carotenes, a group of yellow pigments widely distributed 
in plant tissues, and the further proof that carotenes, when they are 
consumed in green vegetables, are converted in the liver into the vita- 
min itself. These discoveries have thus shown that vegetable foods 
are an effective source of the vitamin, and they have also greatly 
helped in leading to our present knowledge of its actual chemical na- 
ture. It has been obtained pure in the form of an oil, and chemical 
studies have revealed its essential molecular structure. 

Vitamin B,—This is the vitamin of which a deficiency in the food 
supply leads as a final issue to the disease beriberi. It exerts a general 
influence in the body, and would seem to be essential to the normal 
progress of carbohydrate metabolism, but a specialized aspect of its 
functions is the maintenance of a normal equilibrium in the nervous 
tissues. It is widely distributed in natural foods, but in concentra- 
tions which vary greatly. We have seen that the circumstance of its 
presence in the cortical parts of grains and absence from the en- 
dosperm led, through the work of Eijkman and his followers, to one of 
the earliest suggestions for the existence of vitamins. It is relatively 
abundant in yeast, and this has been the material chiefly used as a 
source of it for experimental work. Much effort in Great Britain, 
in particular by R. Peters, has been spent in the effort to obtain it in 
a pure state, an end which seems now to have been reached. Its actual 
molecular structure is not yet known, but its empirical formula is 
probably C,,H,.N,OS. Alone among the known vitamins it contains 
sulphur in its molecule. 

Vitamin B,—When yeast extracts were first employed as addenda 
to deficient diets, their most notable effect, apart from the promo- 
tion of growth, seemed to be the prevention of nervous lesions. 
They were supposed to supply an “antineuritic” vitamin alone. 
This is now B,. Further studies of such extracts showed, however, 
that they certainly contain at least one other vitamin more stable 
toward heat than B,, and clearly showing quite different properties. 
In its absence serious skin lesions develop, resembling in animals 
those seen in the human disease pellagra. There is now indeed little 
doubt that a prominent factor in the causation of this disease is a 
lack of this vitamin in the food. It has been labeled B,. Quite 


VITAMINS—HOPKINS OT 


recently, however, a further complication has come to light in this 
connection. Preparations of “ B,” as hitherto employed would seem 
to contain two active factors, one promoting growth without being 
concerned with skin conditions, and a second to which the “ anti- 
pellagra ” influence is due. The latter is now under intensive study, 
but its chemical nature is yet unknown. The former, like vitamin 
A, is related, as shown by the researches of R. Kuhn and P. Karrer, 
to a group of naturally occurring pigments, but in this case to the 
flavines. The vitamin is in fact identical with a flavine which is 
present in milk. 

Vitamin C.—While the prevention and curative influence of foods 
containing this, the antiscorbutic vitamin, has been so long known, 
it remained for quite recent research to establish its existence as a 
definite chemical substance, to produce it pure, and to determine its 
exact chemical nature. It is present in most fresh foods but often 
only in very small amounts. It is present in greatest concentration 
in fruits and green vegetables, but in amounts varying greatly from 
species to species. Cereal foods contain none. It is characteristi- 
cally less stable than the other known vitamins, being destroyed 
when foods are long kept, dried, or heated; the influence of oxygen 
being a potent factor in its destruction. This instability accounts 
for many chapters in the long history of scurvy and its incidence. 
Much labor has been spent during recent years in determining 
quantitatively its distribution in foods and in endeavor to isolate it. 
Success in the latter aim was reached by A. Szent-Gyorgyi 3 years 
ago. Its constitution has been fully worked out by W. N. Haworth 
and his colleagues, revealing the interesting fact that the physio- 
logically potent substance is related to the simple carbohydrates, 
being a derivative of the hexose sugar gulose. The vitamin is now 
to be known as “ ascorbic acid.” 

Vitamin D.—This, the antirachitic vitamin, is generally associated 
with vitamin A in animal fats, and, with the latter, is present in 
exceptionally large amount in fish liver oils. Studies in the etiology 
of rickets have proved that this disease can be prevented or cured, 
on one hand by an adequate supply of this vitamin in the food, and, 
on the other, by adequate exposure of the body to sunlight. A sat- 
isfactory explanation of this remarkable relation arrived with the 
proof that ultraviolet irradiation converts an inactive precursor into 
the vitamin itself, and that the former is present in the tissues. Dur- 
ing the year 1929, owing in particular to the work of Rosenheim and 
Webster, and that of Hess and Windaus, it was made clear that the 
substance which on irradiation is activated is ergosterol, which in 
small amounts is present in most living tissues. As it is therefore 
present in many natural foods, the antirachitic value of these is 


pay ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


increased by exposure to rays of suitable wave length. A preparation 
of the vitamin made by the irradiation of ergosterol in vitro is known 
as “calciferol.” Its potency is remarkable; one ten-thousandth of 
a milligram a day added to a rickets-producing diet will in a rat 
entirely prevent the appearance of the disorder. In the case of a 
child the effective daily dose is a very small fraction of a grain. The 
rigorous proof that lack of a fat-soluble vitamin is responsible for 
the induction of rickets was furnished by the classical experiments 
of E. Mellanby begun 20 years ago. More recently the importance of 
vitamin D in the processes of normal dentition has been shown by 
May Mellanby. 

Vitamin E’.—In 1922 it was first shown by H. M. Evans and 
K. 8. Bishop that a vitamin, distinct from others then known, is 
essential for successful reproduction. It has been termed the anti- 
sterility vitamin, but this term implies functions more specific than 
those which are actual. Deprivation of vitamin A, for example, 
will ultimately lead to failure in reproduction. Nevertheless, the 
influence of vitamin E (now so-called) is exerted on specific lines. 
In its absence there is degeneration of the testes in the male and a 
failure of the placental functions in the female. The richest sources 
of this vitamin so far discovered are certain green vegetables and 
wheat embryos. It is, however, widely distributed in foodstuffs, 
and as it is active in very small amounts, the possibility of any lack 
of it can seldom arise. Its constitution is unknown. 

These very brief descriptions of the known vitamins leave out, of 
course, a multiplicity of facts which have been discovered concern- 
ing each of them, and omit reference to the work of very many inves- 
tigators. They may serve, however, to indicate the lines on which 
vitamin research has hitherto progressed. 

Characteristic of each vitamin is the very small amount in which 
it exercises its physiological functions, and the circumstance that 
all are present in very low concentrations in the materials from which 
they have to be separated has greatly added to the difficulties of their 
study. It will be admitted, however, that we have now a sound body 
of knowledge concerning them, establishing their nutritional im- 
portance and throwing no little light on their nature. Research in 
the field is now receiving much help on its constitutional side from 
modern physical methods, and on its biological side from increasing 
interest on the part of a large number of clinicians. Vitamin 
therapy is now joining hands with endocrine therapy, and the League 
of Nations Permanent Commission on Biological Standards has 
recognized its growing importance by accepting standards for meas- 
ures of vitamin activity and defining units in terms of such 
standards. 


VITAMINS—HOPKINS Pio 


Some, at least, of the conditions which are now grouped as defi- 
ciency diseases are of world-wide importance, and though the clear- 
cut symptoms which the experimentalist can observe in animals un- 
der strictly controlled conditions are often obscured by intercurrent 
infections or other complications in clinical cases, yet once a food 
deficiency has been recognized as an essential link in the chain of 
causation the method of cure becomes in every case as certain as it 
is logical. On the other hand, once the hygienist has become con- 
vineed that this or that disease is really due to faults in the diet of 
communities its prevention, with or without administrative action, 
should be easy to secure. Although a defect in the supply of a 
vitamin, if serious and continued, may result in actual disease, it is 
in Great Britain more important to realize that a suboptional supply 
of any essential food constituent cannot fail to induce subnormal 
health which, especially when induced in childhood, may leave 
permanent disability. 

Apart from its own inherent importance, the revelation of the 
significance of vitamins can fairly be said to have directed closer 
attention to the nutritional importance of other minor constituents 
of natural foods. The specific needs of the body are proving to be 
numerous, and lack of materials called for in very small amounts 
are proving to be just as important to final issues in nutrition as 
are those required in much larger amounts. This applies to the 
mineral as well as to the organic constituents of food, and ill-assorted 
diets may be deficient in the former no less than in the latter. 

For the progress of scientific knowledge concerning these needs, 
each separate factor has called, and continues to call, for separate 
and intensive study; but the demands of right nutrition need to be 
viewed as a whole. We need to know what should be the ideal bal- 
ance among the many essentials, and how best to secure that it shall 
be approached in the food supply of all classes of the community. 
Short of this, we have today sufficient knowledge to be sure that 
malnutrition in its subtler aspects often accounts for disabilities 
which have hitherto been ascribed to constitutional defects or to 
other circumstances. With present knowledge, moreover, it should 
be easy, economic questions apart, to prevent such malnutrition 
everywhere. There is almost sufficiency in the statement that cer- 
tain foods often held to be luxuries have to be recognized as neces- 
sities for all. Recognition of this bears upon all the problems of a 
national food supply; upon production, preservation, transport, and 
distribution. 

It is interesting to remember that the effective development of 
the recent knowledge concerning the more subtle aspects of nutrition 
has been almost coterminous with the reign of King George. 


Finke ash inion thy macy ine staid: i ery, 

ont nb rteiront boing ooirabubey (at cabsonal 
b+ | iit i’ (Pavone, iS aa Sortie) econ sang h 
cup ippessahs, Yat iy =3 (Me ido wnat one aor] on ao 


i uel i saphie 


ele isle f 


to tite. etlie it ree wee med4 

( ype r ie | ie 
CORIUTat eit teth : ses Ba he 
bowed! atiscgrmty) tcp) teh TE ‘ 


Pea uN eeie thie) rene e 18 Tite od a4 ‘iaiuia 
er RIO TG ake Fh FGETS ori od: nhs te PO eiiimaae tls a 


eg ybrocurein haciinan lye ARORA anid 
ler downgdlimoe oritinaliys wah dace oa vadansertuc i puis ie 
si tiwine: Do win game beliaa oreant: orlaAasttering fie vahplwie 
joo gol ta anne nal sien consul oreo Set 


THE SALINITY OF IRRIGATION WATER 


By Cart 8. SCOFIELD 
United States Department of Agriculture 


[With 3 plates] 
INTRODUCTION 


In the course of its development our irrigation agriculture has, in 
some areas, utilized all of the available supplies of surface water. 
Further progress calls for the use of underground water obtained by 
pumping. In some situations, as in southern California and in Utah, 
it has been found that some of the underground water is unsuited for 
irrigation use because of the nature or quantity of its dissolved salts. 
Furthermore, it has been found that some of the supplies of surface 
water, such as the Rio Grande and the Colorado River, also contain 
dissolved salts in quantities or of kinds that cause trouble after some 
years of use on the same land. 

These experiences have appeared to warrant investigation of the 
subject of the salinity of irrigation water in relation to the possibili- 
ties and limitations of the further and more efficient utilization of 
the water resources of our arid regions and also in relation to the 
sustained productivity of cur irrigated lands. The history of irri- 
gation in other lands has shown that in some places irrigation agri- 
culture has been carried on successfully for long periods, as in 
Egypt, while in other places, as in Mesopotamia, it has failed to 
survive. The direct causes of failure have been various. Salinity 
of the water may have been only one of several reasons. But it is 
fairly certain that in every one of the long-continued irrigated areas 
the quality of the water has been excellent. 


THE SALINITY OF SOILS 


The phenomenon of soil salinity is one that is usually associated 
with regions having an arid climate. The obvious reason for this 
is that the water-soluble salts resulting from the weathering of rock 
material into soil are leached away by the rains in a humid climate, 
but remain in the soil under arid conditions. There are exceptions 

369233619 275 


276 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


in both cases. There are limited areas of saline soil to be found in 
regions where the climate is unquestionably humid and where soil 
leaching is the normal condition. These limited saline areas occur 
where local surface drainage is inadequate and where the texture of 
the soil is such that no downward percolation of water occurs. Long- 
continued evaporation of water from such an area results in the 
gradual accumulation of soluble salts in the soil. On the other hand, 
there are in arid regions very extensive areas of soil which are not 
saline. This may be due in part to the fact that the rock material 
from which the soil was formed contained little, if any, water-soluble 
material and in part to conditions of soil texture or of surface 
topography that favor soil leaching even by limited rainfall. 

In general, saline soils occur in topographic depressions where the 
drainage from adjacent higher land is retained and evaporated. 
There are, however, some saline soils of rugged topography, such as 
the so-called “ bad-land ” formations, that constitute the remnants of 
sedimentary deposition in saline or brackish waters. 

Within the boundaries of the United States the existence of natur- 
ally saline soils is not an important agricultural problem. They 
occur only to a limited extent in regions where the rainfall is ade- 
quate for crop production without irrigation, and in the drier parts 
of the country the extent of the nonsaline arable soil is generally 
much in excess of the available supplies of irrigation water. This is 
not to say that the pioneers of our arid regions have not attempted 
to reclaim and to utilize areas of saline soils. Many such attempts 
have been made, a few with some measure of success. With us, how- 
ever, soil salinity as a major agricultural problem occurs not as a 
consequence of natural preexisting conditions, but rather as the result 
of the ill-advised use of saline irrigation water on soils that were 
originally nonsaline and potentially productive. It is because the 
problem of salinity in relation to crop production is almost wholly 
consequent on the accumulation in the soil of dissolved salts trans- 
ported by irrigation water that the subject is discussed from this 
standpoint. 

THE SOURCES OF SALINITY 


The water-soluble salts that occur in our agricultural lands are 
not, in any large part, the result of local soil weathering. They are 
chiefly the result of water transport, either natural or artificial. 
The original water is, of course, pure because it comes from rain or 
melted snow, but it becomes contaminated with dissolved salts as it 
passes over or through the soil. Most of the salt found dissolved 
in natural water originates from the decomposition of rock mate- 
rial, but there is a small part, at least, that comes from the interior 
of the earth. Such salt constituents as carbon dioxide, chlorine, 


SALINITY OF IRRIGATION WATER—SCOFIELD 277 


and boron, to name only a few, occur in gaseous form with hot water 
vapor deep in the earth’s crust. These gases reach the surface 
through rock faults or fumaroles. In some situations these gases 
may escape into the atmosphere to return to the earth dissolved in 
rain water, but more often they encounter and are dissolved in 
superficial percolating water and appear at the surface as springs, 
often warm or even very hot. 

Many of the so-called “ mineral springs” originate in this way, 
and although it is probable that only a small proportion of the total 
quantity of salt that is carried by irrigation water comes directly 
from magmatic sources, these sources are important in some instances. 
The rains that fall in the occasional torrential storms of desert re- 
gions contribute a part of the dissolved salts to the streams that 
drain those regions and that are most extensively used for irriga- 
tion. Another source of salts exists in the irrigated lands that le 
adjacent to these streams. The water that is diverted from streams 
or drawn up by pumps from the underground supplies that are 
replenished from streams contains dissolved salts. A large part of 
the water used in irrigation is absorbed and transpired by crop 
plants or evaporates directly from the soil. Of the dissolved salt it 
contains, very little is absorbed by the crop plants, and none is dissi- 
pated by evaporation. Consequently, it accumulates in the soil to 
which the water is applied. 

The salts thus transported to and left in the soil by irrigation 
water are of many different kinds. Some of them, such as calcium 
carbonate and calcium sulphate, have very low limits of solubility, 
and as the water is absorbed by plants or evaporated from the 
soil these salts are precipitated from solution so that they become 
inactive and not injurious to plants. Many of the other salts have 
higher limits of solubility and remain dissolved in the soil solution 
until concentrations are reached that make this solution unsuited for 
use by the roots of crop plants. In order to avoid crop injury from 
this cause it 1s necessary, in many situations, to provide artificial 
drainage for irrigated land to remove the salts of high solubility. 
The drainage from such land, whether natural or artificial, usually 
finds its way or is discharged into the same stream from which the 
irrigation water is diverted. The total quantity of salt returned to 
the stream by drainage from irrigated land may be less than the 
quantity brought in by the irrigation water, but, because the volume 
of drainage or return flow is less, the concentration of the dissolved 
salts is higher in the stream below the diversion point than above it. 
An example to illustrate this effect of diversion and drainage on the 
salt content of a stream may be taken from the Rio Grande in New 
Mexico and Texas. Water is diverted from this stream at Leas- 
burg, N. Mex. Between that point and Fort Quitman, Tex., there 


? 


278 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


is an irrigated area of some 150,000 acres contiguous to the stream. 
The drainage from this irrigated land returns to the stream above 
Fort Quitman. During the calendar year 1933 the volume of the 
discharge of the river at Leasburg, including the water diverted for 
irrigation, was 824,000 acre-feet containing 651,000 tons of dissolved 
salts or 0.79 ton per acre-foot. During the same year the volume of 
water passing Fort Quitman, including returned drainage water, was 
214,000 acre-feet containing 582,000 tons of dissolved salts or 2.72 
tons per acre-foot. Consequently, the effect of irrigation and drain- 
age on the salinity of the stream in this section of its course was to 
increase its concentration from 0.79 to 2.72 tons of dissolved salt 
per acre-foot of water. 

It is obvious that the net effect of the irrigation of this land is to 
increase the salt concentration, if not the total salt burden, of the 
stream that serves it. Thus it seems proper to include irrigated land 
as one of the sources of the salinity found in irrigation water. The 
principal sources, then, are: (1) The soluble products of the forma- 
tion of soil from rock weathering; (2) gases of magmatic origin from 
deep in the earth’s crust; (3) the erosion by rainfall of older sedi- 
mentary deposits and the solution of salts deposited at the time of 
their formation; and (4) the drainage of irrigated land. 


IRRIGATION WATER AND THE SOIL SOLUTION 


The water required by crop plants in the process of growth is ab- 
sorbed by their roots from the solution suspended in the soil within 
the zone occupied by the roots. This root zone varies in depth with 
different crops and with different soil conditions. In general it ranges 
from 2 to 6 feet or more in depth. The capacity of the soil of the 
root zone to hold water against the force of gravity is limited to what 
is known as its field capacity, and, on the other hand, the crop plant 
is not able to utilize all of the water contained in the root zone because 
of the tenacity with which the soil holds a portion of that water. The 
quantity of water held in the root zone at any one time and available 
for use by crop plants must lie between these limits. The relationship 
between this quantity of water and the current daily water require- 
ments of crop plants is such that during the active growing season 
the supply of water must be replenished from time to time. In an 
arid climate this is done by irrigation, and experience has shown that 
during the season of active growth the periods between irrigations 
should rarely exceed 40 days, and with some crops and some soil con- 
ditions the period should not exceed 14 days. 

In dealing with the subject of salinity it must be understood that 
when the water supply of the root zone of the soil, known as the soil 
solution, is replenished by irrigation, there is added to that solution 


SALINITY OF IRRIGATION WATER—SCOFIELD 279 


whatever quantity of dissolved salt is contained in the irrigation 
water. Insofar as the water of the soil solution is dissipated by di- 
rect evaporation from the soil, the remaining solution becomes more 
concentrated because the dissolved salts do not evaporate. The effect 
on the soil solution of the absorption of water from it by crop plants 
is almost the same as the effect of evaporation, because plants absorb 
a much larger proportion of water than of the dissolved salts when 
the concentration of the solution is above a very low level. Thus 
when saline irrigation water is used the trend of events is in the 
direction of an increasing concentration of salinity in the soil 
solution. 

This trend toward increasing concentration is limited by two 
processes. One of these operates through the precipitation from 
the solution of the salts of low solubility, which occurs with such 
salts as calcium carbonate and calcium sulphate at concentration 
levels well below the limits of tolerance for most crop plants. In 
other words, the addition of these salts to the soil solution might con- 
tinue indefinitely and at any rate without impairing the productivity 
of the soil because they would precipitate from the saturated solu- 
tion and become a part of the solid phase of the soil. The other 
limiting process operates through the percolation downward of the 
soil solution with its dissolved salts to levels below the root zone. 
This process occurs naturally if and when the downward path is 
open and when the quantity of irrigation water applied is greater 
than the water-holding capacity of the soil of the root zone. In 
some situations the downward path is not open because of a sub- 
surface layer of rock or impermeable clay. In other areas it is im- 
peded by a water-saturated zone of subsoil known as a “ water table.” 

In order to prevent the excessive accumulation of soluble salts in 
the root zone of irrigated soil it is not enough that the way of 
escape below shall be unimpeded. ‘There must be some displace- 
ment of the solution, or leaching, through the application, at least 
occasionally, of more than enough water to replenish the root zone 
to its capacity. In many places, particularly along the Pacific coast, 
the necessary leaching occurs as a result of winter rains that come 
during the dormant season. When such rains are inadequate to 
cause some leaching it becomes necessary to do it with irrigation 
water. 

As a result of the processes of concentration that occur in the soil 
solution of an irrigated field the soil solution is always more saline 
than the irrigation water. Where subsoil drainage is free and water is 
used copiously, the concentration of the soil solution may be only twice 
that of the irrigation water. If the subsoil drainage is poor or if irri- 
gation water is used too sparingly, the difference will be much greater. 
In general, it is found that the concentration of total dissolved salts 


280 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


in the soil solution of an irrigated field is four to eight times that 
of the water with which the field is irrigated. Such differences 
do not occur with respect to all the salt constituents. Those con- 
stituents that form salts of low solubility cannot exceed that limit. 
Furthermore, there may occur in the soil reactions of base exchange 
by which the proportions of some of the constituents may be modi- 
fied. The point here to be emphasized is that in considering the 
relationship between the salinity of irrigation water and the salinity 
tolerance of crop plants it should be kept in mind that the plant 
must obtain its water supply from the soil solution, which may be 
very much more saline than the irrigation water. Furthermore, any 
standards to be used for the quality of irrigation water must be in- 
fluenced by consideration of the regimen of irrigation and the 
conditions of soil and climate involved. 


THE CONSTITUENTS OF SALINITY 


In order to understand the nature and apparent complexity of the 
problem of salinity in irrigation water it is necessary to recognize 
as a fact that this salinity includes not only a number of different 
salts, but what is even more important, that each of these salts is 
composed of at least two constituents. Our best information is that 
the reactions and effects that occur in the soil solution or subse- 
quently in the plant are produced by the salt constituents or ions 
rather than by the salts as such. In water solutions of common salts 
or electrolytes it is believed that the salt constituents exist largely 
as independent dissociated ions. Furthermore, the analytical meth- 
ods, by which their concentrations in water solutions are measured, 
are based on determinations of the individual constituents rather 
than of the salts in their combined form. 

Natural waters, such as are used for irrigation, contain in solution 
a very large number of constituents. Rarely if ever does an analyst 
attempt to determine all of them. Probably most of the analyses 
of irrigation water are limited to the determination of the anions: 
Carbonate (CO;), bicarbonate (HCO,), sulphate (SO,), chloride 
(Cl), and nitrate (NO;), and in the cation group the determinations 
seldom include more than four: Calcium (Ca), magnesium (Mg), 
sodium (Na), and potassium (K). In addition in some cases it 
is necessary or desirable to determine the concentration of certain 
elements such as iron (Fe), aluminum (AJ), silicon (Si, or as silica, 
SiO,), boron (B), fluorine (Fl), and selenium (Se). These last 
named constituents usually, though not always, occur in small 
quantities, and although they may exist in the solution in ionic 
combinations, the nature of these combinations is not well enough 
known to warrant their identification except as elements. 


SALINITY OF IRRIGATION WATER—SCOFIELD 281 


It is characteristic of these water solutions of electrolytes that the 
total number of ions or combining units of each group must be the 
same, that the sum of the cations must equal the sum of the anions. 
This equality of numbers may be achieved by dissociation of the 
water molecule into its potential constituents, hydrogen (H) and 
hydroxyl (OH). The extent of this dissociation and the nature of 
the resulting equilibrium may be measured by the so-called “ hydro- 
gen ion concentration (pH).” Thus acid waters are those in which 
hydrogen ions must be included with the cations to achieve equality 
of number, whereas in alkaline waters the requisite number is con- 
tributed by hydroxyl ions. 

Two methods are used to indicate the quantities of dissolved salts 
in a solution. The several ionic constituents of the dissolved salts 
have different gravimetric values. For example, if we assume that 
a combining unit of hydrogen has a gravimetric value of 1, then an 
equivalent combining unit of chlorine has a gravimetric value of 
35.5, while that of the sulphate ion (SO,) is 48, and that of the 
nitrate ion (NO;) is 62. This relationship between numbers and 
weight is involved in the two methods that are in current use for 
reporting the concentration of the ionic constituents of the salinity 
of irrigation water. By one of these methods the gravimetric values 
are reported, usually as milligrams per liter, which is equivalent 
to parts per million. By the other method the values reported as 
milligram equivalents per liter imply the relative numbers of each 
ionic constituent. The value reported by either method may be 
readily converted into the other scale by the use of appropriate 
factors for each ion. 


THE EFFECTS OF SALINITY 


The dissolved salt constituents that occur in the soil solution as 
the result of the use of saline irrigation water produce effects that 
fall into two categories. One includes the effects on crop plants and 
the other includes effects on the physical condition of the soil. In 
both cases the reactions appear to be related to the concentrations of 
the individual salt constituents, rather than to the concentration of 
the combined salts. The effects of these salinity constituents on the 
physiological process of plant growth do not operate independently 
of each other; but for the most part the interrelationships appear 
to exist between the constituents of a group rather than between the 
two constituents of any given salt. For example, the effect of mag- 
nesium may be influenced by calcium, that of calcium by sodium, or 
the injury caused by boron may be influenced by the concentration 
of nitrate or the injury of selenium by the concentration of sulphate. 
Thus the influence of one cation may be modified by the concentration 


282 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


of another cation, but there is little evidence to support the view that 
the physiological effect of an anion such as chloride is any different 
whether its salt-forming companion is sodium or calcium. 

Some of the constituents of salinity are essential to plant nutrition. 
This is certainly true of such cations as calcium, magnesium, and 
potassium, and of such anions as sulphate and nitrate, to enumerate 
only a few. However, the concentration levels at which several of 
these constituents commonly occur in saline irrigation water is much 
above the optimum for plant nutrition. It is probably true that in 
respect to many of the ions or elements that occur in solution in 
natural waters or in the soil solution there are concentration levels 
that are below the optimum for plant nutrition as well as higher con- 
centration levels at which the same ions or elements become toxic. 
This is not known to be true of all of these constituents. Chloride, 
for example, is probably not essential, at least to many plants, and 
there is some reason for believing that it may cause some depression 
of growth when it occurs in concentrations that are much lower than 
those that are associated with definite symptoms of malnutrition or 
that kill the plant. 

There are very pronounced differences in the toxicity of the differ- 
ent solution constituents. Boron, for example, may cause serious 
injury when its concentration in irrigation water is less than 1 part 
per million or when in the soil solution its proportion is not more 
than 3 or 4 parts per million. With chloride, as another example, 
concentrations up to 150 to 200 parts per million in irrigation water 
may not cause obvious symptoms of injury even though the soil solu- 
tion resulting from the use of such water may contain 8 or 4 times 
that concentration. 

There are also very great differences among crop plants in respect 
to their limits of tolerance for any one constituent of the soil solu- 
tion or for all of those constituents taken together. This aspect of the 
subject is discussed in some detail in a later paragraph. 

In the case of plants it is probably true that nearly every one of 
the dissolved constituents of the soil solution has some effect, for good 
or ill, on the plant. This is apparently not true of the relationship 
between these solutes and the physical condition of the soil. Our 
concern about the soil is due to the fact that its function as a suitable 
reservoir for the soil solution is profoundly influenced by its physical 
condition in relation to its permeability, and that this in turn is 
influenced by the nature of the cations introduced into the soil solu- 
tion by the irrigation water. These cations participate in reactions 
of exchange between the solution and the soil. So far as we now 
know, such reactions do not occur between the soil and the dissolved 
anions. These anions, or some of them, may have some effect on the 


SALINITY OF IRRIGATION WATER—SCOFIELD 283 


physical condition of the soil, particularly when they occur in high 
concentrations in the soil solution, but that effect 1s probably not 
exerted through exchange reactions. 


REACTIONS OF BASE EXCHANGE 


It has long been known that one of the important phases of the 
so-called “alkali problem” in irrigated lands had to do with what 
was described as the puddling effect on the soil of “ black alkali ” 
or sodium carbonate. A puddled or impermeable soil is one that 
when wetted expands or becomes gelatinous so that water does not 
move through it readily. This condition occurs in irrigated soil 
on which soft water is used because saline soft waters contain 
sodium. It is only within the last decade or two that substantial 
progress has been made in understanding the nature and extent of 
the reactions by which such effects are produced. These are known 
as reactions of base exchange because they take place between the 
basic ions or cations of the solution and ions of the same group 
that are attached to some of the solid particles of the soil. The fact 
that exchange reactions take place between the soil and the salts 
of its solution was reported by an English chemist, J. Thomas Way, 
as early as 1852. But it was not until some 35 years later when 
the phenomenon of ionization was discovered that it became possible 
to understand how these reactions occur. The fruits of these dis- 
coveries have also been extensively utilized in industry in the process 
of artificial water softening by which the calcium and magnesium 
are removed from hard water intended for domestic use or for 
laundries. 

The aspects of the subject of base exchange that are dominant 
in irrigated lands have to do with exchange reactions involving 
sodium and calcium. It is now known that deflocculated or im- 
permeable soils contain appreciable quantities of sodium combined 
with the exchange complex. This sodium has been taken up by 
the soil from the soil solution in which sodium occurred, and such 
reactions take place regardless of the nature of the anion that was 
associated with sodium in the solution. In other words, sodium 
may be absorbed by the soil from solutions of sodium chloride or 
sodium sulphate as well as from solutions of sodium carbonate or 
“black alkali.” It is implicit in the concept of the reactions of 
cationic exchange that for each ion absorbed from the solution by 
the soil another ion must pass into the solution from the soil; also 
that these reactions occur in the direction of attaining ionic equi- 
librium of concentration between the soil and its solution. 

These facts concerning the reactions of base exchange afford a 
way of understanding the effects of the salinity of irrigation water 


284 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


on the physical condition of the soil. When sodium is the chief 
constituent of irrigation water, and subsequently of the soil solu- 
tion, the reactions between that solution and the soil are in the direc- 
tion of increasing the quantity of sodium combined with the soil 
and of displacing an equivalent quantity of calcium, or other ions, 
from the soil to pass into solution. Reactions in that direction 
change the characteristics of the soil in the direction of defloccula- 
tion and impermeability. On the other hand, if a soil that is already 
deflocculated by sodium is irrigated with water in which calcium 
is the dominant ion, the exchange is in the direction of replacing 
the sodium combined with the soil by calcium from the solution 
with the result that the soil becomes flocculated and more permeable. 
One of the chief reasons for applying gypsum or calcium sulphate 
to irrigated soil is to improve its physical condition by this reaction. 
In a soil that was puddled or impermeable and has been flocculated 
by the application of gypsum, water may move freely either by 
gravity or by capillarity. 


THE SYMPTOMS OF PLANT INJURY 


The more obvious or striking effects of high concentrations of 
salinity in the soil solution are to be seen in irrigated fields contain- 
ing areas of bare soil or of salt-tolerant weeds. In these areas the 
growth of crop plants may be completely inhibited by excessive salt 
concentrations. Surrounding these areas there is usually a zone in 
which there are a few crop plants of subnormal size, while normal 
and vigorous plants occur outside of the intermediate zone. This is 
the characteristic manifestation of salt injury to field crops. One 
seldom sees a whole field in which the intensity of injury is uniform. 
This is because of the natural and universal variability of soil con- 
ditions. Some species of crop plants exhibit characteristic symptoms 
of injury in their leaves or stems that may be identified as the result 
of high concentrations of one or another salt constituent. In gen- 
eral, however, concentrations of salinity insufficient to kill plants 
merely retard growth processes and reduce the size or yield of crop 
plants. 

The absence of characteristic symptoms of salt injury in many 
crop plants has made it difficult to distinguish that cause in its early 
stages from other causes of poor growth or low yields. Such other 
causes as adverse climatic condition, low fertility, or the depredations 
of insect pests or plant diseases are often ascribed as the reason for 
unsatisfactory crop growth whereas the dominant cause may be ex- 
cessive salinity in the soil solution. The fact that the real cause of 
trouble may be due to some one of the several constituents of that 
salinity or to adverse soil conditions caused by one constituent in- 


SALINITY OF IRRIGATION WATER—SCOFIELD 285 


creases the difficulty of correct diagnosis. Impaired crop growth or 
reduced yield may occur where the concentration of total salinity 
is low, but where the trouble is due to the excessive concentration, 
either absolute or relative, of some one constituent of that salinity. 
The injurious effects of boron and of high ratios of sodium occurring 
in solutions of low total salinity may be cited as examples. 

There are some crop plants that do exhibit recognizable symptoms 
of injury from one or another of the salt constituents. These symp- 
toms may be associated with impaired growth rate or they may occur, 
in mild form, without measurable evidence of general growth de- 
pression. As an example, it has been found that when the boron 
content of the soil solution is approximately 3 parts per million the 
leaves of lemon trees show a characteristic pattern of yellow color 
in the tissue between the veins, with some marginal necrosis. This 
symptom appears even when the degree of injury is so slight that 
growth and fruiting are not measurably depressed. Other and no 
less definite symptoms of boron injury are known in other plants, 
and there are still other examples of abnormalities of color or form 
in plants that are associated with nutritional derangements conse- 
quent upon excessive or abnormal salinity conditions in the soil 
solution. With some few exceptions, however, the adverse effects of 
salinity constituents in the range of toxic concentrations are mani- 
fested only by the depression of the rate of growth. 


RANGES OF PLANT TOLERANCE 


In attempting to set up standards of reference by which to trans- 
late the data of water analysis into terms of the tolerance limits of 
crop plants one encounters difficulties of several kinds. It has been 
pointed out in an earlier paragraph that the plant has to deal with the 
soil solution, and that there is no constant relationship between the 
concentration of the irrigation water and of the soil solution. Because 
of the practical difficulty of extracting a sample of the solution from 
the soil in an undiluted condition we have fewer analyses of soil 
solutions than we have of irrigation waters. Thus the temptation 
is to compare the data of the analyses of the irrigation water with 
the behavior of the crops on which the water is used. Such a com- 
parison is hazardous not only on account of the variable relationship 
between the irrigation water and the soil solution, but because the 
effect produced on any given plant species by any given concentra- 
tion of a solution constituent may be profoundly influenced by the 
local climatic conditions. For example, a crop plant is more toler- 
ant of salt in a humid coastal climate than in a dry interior climate. 

It should also be recognized that there are great differences among 
the species of crop plants in respect to their tolerances to each of 


286 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the several constituents of salinity and that the group of species 
comprised in one system of agriculture may be wholly different from 
that of another system. These are examples of the variables that 
must be considered in determining the relationship between the qual- 
ity of irrigation water on one side and of a profitable and enduring 
system of irrigation agriculture on the other. The demand for that 
comparison is frequent and insistent. It is not much less difficult 
to answer when its scope is limited to one constituent and one crop 
species. Not the least of the difficulty lies in our lack of precise 
knowledge in respect to the reaction of any given crop species to 
any given concentration of a solution constituent as influenced by 
climatic conditions, by stage of growth, or by the associated 
constituents. 

Despite the recognized existence of all of these variables in the 
equation, it is possible to establish certain criteria by which to esti- 
mate the potential effect of the salinity of an irrigation supply on 
a given soil with a given climate and a given group of crop species. 
These criteria are of necessity based on field observation and on data 
of the quality of irrigation water. As an example of the sort of 
criteria that may be used, the following table is given. It repre- 
sents the conclusions of a number of men who are well informed on 
conditions in one irrigated region and is used in connection with the 
appraisal of irrigated farms. In this table the boron constituent is 
emphasized because it is regarded locally as of critical importance. 


TABLE 1.—An example of the permissible limits adopted for a definite region of 
classes of irrigation water with respect to certain of its characteristics 


Concentration in 


Concentration ! total Boron, parts per million, crops milligram 
dissolved solids group equivalents 
Per- 
Classes of water Glare cone 
onduct- = 
ance | Parts per | dium? i B c {Chlorides Rei 
KX105at} million (Cl) SO 
25° O. 2 


Class 1. Excellent, 


lessithan=o = 25 175 20 0. 33 0. 67 1.0 4 4 
Class 2. Good___-__- 25- 75 175- 525 20-40 | 0.33-0.67 | 0.67-1.33 | 1.0-2.0 4-7 4-7 
Class 3. Permissible_ 75-200 525-1, 400 40-60 | 0.67-1.00 | 1.33-2.00 | 2.0-3.0 7-12 7-12 
Class 4. Doubtful___| 200-300 |1, 400-2, 100 60-80 | 1. 00-1. 25 | 2. 00-2.50 | 3. 0-3. 75 12-20 12-20 
Class 5. Unsuitable, 

more than-_-_-_---- 300 2, 100 80 1. 25 2. 50 3.75 20 20 


1 The concentration of dissolved salts in water may be measured by either of two methods, that of elec- 
trical conductance and that of evaporating the water and weighing the residue. 

1 This percentage represents the proportion of sodium to the total cations and is computed from the 
data of analysis, reported as milligram equivalents, by dividing the sum of the values for sodium and 
potassium by the sum of the values for all the cations 

In the application of the class limits given in the table considera- 
tion is given to (1) the crop group, (2) soil type, (3) climatic con- 
ditions, (4) relative quantity of irrigation water to rainfall. As 


applied specifically to the boron conditions the crop groupings are: 


SALINITY OF IRRIGATION WATER—SCOFIELD 287 


A, fruit trees; B, vines and cereals; C> vegetables. The concentra- 
tion of total salinity is considered in connection with boron and 
sodium percentage. If all three rate class 8 or higher, the water is 
unsuitable. In general if the water rates class 4 for any two or 
more characteristics, it is classed as unsuitable. 

It should be understood that class limits or standards given in the 
table are intended for use in a particular area and should not be 
taken as applicable everywhere. It should be clear that it is not 
practicable to use one set of standards for all irrigation waters or 
for all sorts of crops, or for all sorts of soil and climatic conditions. 
Another error to be avoided is that of adopting a single criterion 
such as total salinity or the chloride content. Such simplification is 
not warranted by the facts in the case. 


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‘SOOINOS OIVUUSBUL WOIJ BOBJANS Bt{} 0} GULOD MIIOJ SNOeSwS UT ‘eUTIO[YO pUk ‘MOIO ‘syUEN4I4SMOO IT eS YO YSnoIyy BIUIOJ[VO UIOYINOS Jo Jlesep OpeIO[OD ay4 Ur saforeuN] Jo dnors y 


| 3ALW1d PlPyooS—'¢¢6| ‘qoday ueruosyIUIS 


Smithsonian Report, 1935.—Scofield PEATE: 2 


1. A deposit of saline sediments in western Colorado from which, by natural erosion, soluble salts are 
carried into the streams and ultimately to irrigated lands. 


no 


A saline spot in an irrigated field, showing sparse and restricted plant growth, surrounded by normal] 
plants, 


Smithsonian Report, 1935.—Scoheld PLATE 3 


1. A saline spot in an irrigated alfalfa field, covered by salt-tolerant weeds. 


2. View of an apple orchard in western Colorado in which dissolved salts brought in by the irrigation 
water have killed trees after they have made good growth and reached bearing age. 


SELENIUM ABSORPTION BY PLANTS AND 
THEIR RESULTING TOXICITY TO ANIMALS 


By ANNIE M. HuRbD-KARRER 
Associate Plant Physiologist, Bureau of Plant Industry, United States Depart- 
ment of Agriculture 


(With 6 plates) 


Unknown before 1817, selenium has been of interest primarily to 
physicists and inventors since 1873, when its remarkable photoelec- 
tric properties were discovered. Now it becomes of importance to 
the biologist and to the farmer as the cause of a serious disease of 
livestock known locally as “ alkali disease ”,! although it may more 
properly be referred to as the selenium disease (Knight, 1935). 
About 20 years ago the plant physiologist added selenium to the list 
of elements known to be taken up from the earth by plants (Gass- 
mann, 1917, 1919); and now the farmer of certain sections is 
faced with the fact that its presence in his land renders his crops 
unfit for food. 

The selenium disease appears to be unique in that as far as is now 
known it is the only disease caused by vegetation made poisonous by 
an element absorbed from a virgin soil. It is fortunate that such 
soils are not more widely distributed. 

Selenium occurs in many parts of the world combined with the 
heavy metals such as lead, silver, and copper, and in pyrites (Strock, 
1935; Williams and Byers, 1984). It is commonly associated with 
sulphur of volcanic origin and is found in meteoric iron. Of the 
approximately 90 known elements it is about fiftieth in order of 
abundance, being just about as rare as silver (Noddack and Noddack, 
1934). Traces of it are found in soils derived from shales over 
much of the United States (Byers, 1935); but only in certain re- 
stricted areas of the Middle West is it known to make vegetation 
toxic (Franke et al., 1934). 

In France it has been found in the vegetation along canals from 
mineral springs containing selenium (Taboury, 1932). In Germany 

1This name is a misnomer, the trouble being entirely different from that caused by an 
excess of certain salts in the water. 


289 


290 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


it has been found in plants growing in the vicinity of manufacturing 
establishments that produce seleniferous waste products, and in soils 
treated with fertilizers made from materials containing selenium as 
an impurity (Stoklasa, 1922). The increasing use of selenium- 
containing fungicides and insecticides in the United States raises a 
question as to the danger of still wider distribution, although it has 
not been shown that the form of selenium used in these materials is 
readily available to plants. 

Before proceeding with the discussion of the absorption of se- 
lenium by plants, it may be of interest to relate how and why we 
know that the livestock disease of the Middle West is really selenium 
poisoning. The discovery of the cause of this obscure and bafiling 
trouble, affecting the animals of certain restricted areas, constitutes 
one of the romantic episodes in the history of agriculture. By en- 
listing and combining the knowledge and experimental technique 
of the soil chemist and the plant and animal physiologists, the prob- 
lem has progressed from the discovery of the cause to suggestions for 
control in a surprisingly short time. 

The existence of the disease has been known ever since the affected 
States were opened for settlement. The most conspicuous symptoms 
in horses, cattle, and pigs are the loss of hair, with deformity and 
eventual loss of the hoofs (pl. 1). Cattle lose the hair of the tail, 
and horses both mane and tail. The animals are often emaciated 
and lame, and those most severely affected die. Cattle and horses 
may die of thirst or starvation because of the difficulty of getting to 
food and water. If the toxic foodstuffs are removed from the diet, 
the animals improve to a considerable degree but never seem to re- 
cover entirely. In poultry the poison affects the eggs, most of which 
produce weak, abnormal chickens or fail to hatch (Franke et al., 
1984). 

The earliest reference to the disease seems to be a report of similar 
trouble affecting Army horses at Fort Randall, Territory of Ne- 
braska (now in South Dakota), in 1856. Later, the early settlers 
in this region were confronted with the sickening and death of 
their animals. Pathetic letters are on file in the Department of 
Agriculture as far back as 1908, reporting the total loss in some 
instances of herds of valuable animals and appealing for informa- 
tion and assistance. The disease has thus interfered with the devel- 
opment of some sections of the country, and in others it still consti- 
tutes a serious handicap to farming. And all because too much 
selenium occurs in these parts of the earth’s crust! 

Some of the farmers themselves concluded that the trouble was due 
to something the plants absorbed from the soil. Scientists at the 
South Dakota Experiment Station then began experimenting and 


SELENIUM—HURD-KARRER 291 


definitely traced it to the grain in the diet of the affected animals 
(Evans, Bushey, and Kuhlman, 1925; Franke, 1984a). When a soil 
specialist (Rice) with other scientists of the Department of Agri- 
culture made a survey of the region in 1931, he added the further bit 
of knowledge that the toxic vegetation occurred on soils derived from 
Pierre shales (Franke et al., 1984). This discovery was the clue 
that led the soil chemists to suspect selenium, an element that might 
reasonably be supposed to occur in the shales, and known to be 
poisonous to animals (Knight, 1935). 

A search for selenium in the toxic soils, grain, and affected animals 
followed, and by careful painstaking analyses its presence in them in 
minute quantities was soon proved beyond a doubt (Robinson, 1933). 
At the same time it was shown that white rats with selenious acid 
added to their food developed symptoms of poisoning similar to those 
in rats fed the naturally toxic wheat (Munsell?). The gluten of the 
wheat was found to be the toxic fraction and to contain most of the 
selenium (Robinson, 1933; Franke, 1934b; Nelson*). Then wheat 
was grown in the greenhouse on soil to which a selenium salt (sodium 
selenate) had been added. The amount of this added salt was so 
small that the selenium constituted but one one-millionth of the 
weight of the soil. The plants grew normally, and the grain gave no 
sign of having anything the matter with it. But, amazingly enough, 
rats fed on it died while those fed on grain from the same soil without 
the selenium grew normally (Nelson, Hurd-Karrer, and Robinson, 
1933). In more prolonged feeding tests the symptoms of the disease 
were produced by grain grown in quartz sand cultures to which 
sodium selenate was added (Munsell?). Finally, to clinch the evi- 
dence, inorganic selenium salts were fed to pigs (Schoening*). When 
their hair fell out and their hoofs developed abnormally just as they 
did in pigs that were fed the naturally toxic grain, it was concluded 
that the cause of the disease had been found. 

It seems surprising that grain that looks normal in every respect 
should be so toxic. But this is consistent with reports from the 
toxic-soil areas that the plants there give no outward sign of abnor- 
mality. It is evident that animals are far more sensitive to selenium 
than are plants. Plants absorb relatively large amounts without 
visible injury and yet may kill animals. The reverse is true of 
boron. Plants may take up enough of this element to be fatally 
injured yet they are harmless to animals. 

?Report to be published by the Bureau of Home Economies, U. S. Department of 
Agriculture. 

* Report to be published by the Bureau of Chemistry and Soils, U. S. Department of 
Agriculture. Referred to in the annual report of the Chief of the Bureau, 1935. 


“Report to be published by the Bureau of Animal Industry, U. S. Department of Agri- 
culture. Referred to in the annual report of the Chief of the Bureau, 1935. 


36923—36——20 


292 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


In order to see how much selenium is necessary to visibly injure 
wheat plants I set up a series of experiments with increasing amounts 
of selenium in the form of sodium selenate added to pots of soil in 
the greenhouse. When the concentration reached 15 parts of sele- 
nium in a million of soil—i. e., 15 times the amount used to produce 
the grain that was toxic to rats—snow-white areas or streaks ap- 
peared on the leaves, like those on barley described by Turina (1922). 
With more selenium in the soil the entire leaf was sometimes snow- 
white. Such “chlorotic” plants look much like the decorative rib- 
bon grass of the flower garden (pl. 2). 

Under some conditions a still more striking sign of injury ap- 
peared, viz, the white areas became a beautiful deep rose or lavender- 
pink. This color is quite unlike the effect of any other known 
poison. 

With some types of selenium salts, namely, the selenites, the roots 
become reddish, suggesting the presence of precipitated selenium. On 
examination with the microscope, the pink root tissues are seen to 
contain myriads of tiny red granules of selenium. This process of 
“reduction ” of the colorless selenium salt to the colored element 
within the cell (Levine, 1915; Stoklasa, 1922; Turina, 1922) is a 
unique source of color in plants, the usual colors of leaves and 
flowers being due to organic pigments synthesized by the leaves. The 
red selenium color has been put to practical use in making red glass, 
such as that used for signal hghts in railroad and traffic control, 
and the red enamels used in ceramics. 

Chemical analyses show that selenium accumulates in plants in 
such quantities that its concentration becomes much higher than in 
the soil (table 1). In other words, the roots keep absorbing it and 
passing it on to the leaves, where it accumulates and makes the plants 
poisonous to animals. Up to a certain amount, about 3800 parts per 
million, or 0.03 percent, of the dry weight, it does not affect the 
appearance of the wheat plant. But with larger amounts the char- 
acteristic “chlorosis” of the leaves appears. Wheat plants are 
almost killed by an accumulation of selenium equal to about one- 
tenth of 1 percent of the solid material of the leaves. Some other 
kinds of plants take up much more than this without showing injury, 
notably crops of the mustard family (table 2). Certain wild plants 
of the Wyoming seleniferous soils are reported to have a selenium 
content equal to nine-tenths of 1 percent of their dry weight (Byers). 
Naturally, such vegetation is extremely toxic to animals, and is now 
suspected to be the cause of a livestock disease of that area known as 
“blind staggers ” (Beath, Draize, Eppson, et al., 1934; Beath, Draize, 
and Gilbert, 1934; Draize and Beath, 1935). 


SELENTIUM—-HURD-KARRER 


293 


TABLE 1.—Quantities of selenium taken up by wheat plants from sodiwm selenate 


added to soil. 


(Figures are parts per million of air-dry weights)* 


A. IN KEYPORT CLAY LOAM (VIRGINIA) 


Selenium 
found in 
plants 


Selenium added to soil 


380 
530 
1, 000 
1, 120 


Condition of plants 


Normal. 

Stunted and chlorotic. 
Severely stunted and chlorotic. 
Nearly dead. 


B. IN PIERRE CLAY (SOUTH DAKOTA) 


Vo os Se ee a ee ee OSE EEE 325 | Normal. 

cas a ee es ee ee 330 | Almost normal. 

eee a ee ee eee eens waa a ae ae 450 | Stunted and chlorotic. 

1) eS ee ee 960 | Severely stunted and chlorotic. 
2) ae Saas ono ae Seed es tase 1,350 | Nearly dead. 


1 Analyses by A. Van Kleeck under the direction of Dr. H. G. Byers, U. S. Bureau of Chemistry and 
Soils. The difference in absorption of selenium from the two kinds of soil is discussed in an earlier publi 
cation (Hurd-Karrer, 1935). 


TABLE 2.—Quantities of selenium (as parts per million on an air-dry basis) 
taken up by different kinds of annual crop plants from greenhouse plots 
treated with 5 parts of selenium (as sodium selenate) per million of soil.’ 
None of the plants showed selenium injury 


Plant Selenium Plant Selenium Plant Selenium 
Mustard] 22-0222 1240) PA falfates cece ees 560 |} Proso millet____------ 285 
Broccolie ss 222 1, 180 Cree eee GO| W@orneaeess ss ese eee 275 
Sunflower--__------_-- 7904 | POats a ees 3 eo EES 535 || Crested wheatgrass_-_ 255 
1) See ee ee OSbuleWiheateseoese ao 470 || Bromegrass_---------- 200 
Sweetclover___-------- G45 |WiBarleyoes soc 450) ||RSOLEOn tee eee oe 130 
German millet_-_-~__-- 590g aSpingche == ee 315 


1 See i by A. Van Kleeck under the direction of Dr. H. G. Byers, U. S. Bureau of Chemistry and 
oils. 


Young wheat plants contain at least five times as much selenium 
per unit of dry matter as old ones, and leaves contain more than 
the stems and grain. Thus severely injured wheat plants grown with 
30 parts per million selenium (as sodium selenate) added to the soil 
contained 1,120 parts per million when they were sampled at an 
early stage of development and but 220 parts per million at ma- 
turity. Similarly grown plants with 260 parts per million in their 
leaves at maturity had but 70 in the stems and 150 in the little grain 
that developed. Wheat grown in white sand cultures with nutrient 
solutions to which was added enough selenium (as sodium selenate) 
to produce a concentration of only 1 part in a million (by weight 
of sand) contained 330 parts per million (by weight of their air-dry 
tissues) after growing 1 month. Some of the plants were allowed 
to mature. The leaves then contained only 40 parts per million, 
the stems 12 parts per million, and the grain 8 parts per million. 


294. ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Even this small amount was sufficient to make the grain toxic to 
white rats.° 

When a crop like alfalfa, clover, or grass on an artificially 
selenized soil was repeatedly cut and allowed to grow up again with 
no further additions of selenium, the amount of selenium found in 
successive cuttings of similar age became progressively less, suggest- 
ing the gradual depletion of the selenium in the soil. Such de- 
creasing concentrations in the tissues of successive crops from the 
same roots are shown in table 3. 


TABLE 3.—Selenium in successive crops cut at intervals from the same roots, in 
greenhouse plots treated with sodium selenate at a rate of 5 parts of selenium 
per million of soil." 


Date of cutting 


Crop 
Mar. 5 | Apr. 13|June13| Aug. 2| Oct. 1 
Sweet cloversss2-s--2-+-——— 645 400 195 93 85 
A fall fetes eee a a nae re 560 330 193 125 85 
Wiheatierass!. 4 22s es 255 150 145 40 60 


1 Analyses by A. Van Kleeck, U. S. Bureau of Chemistry and Soils, and by R. B. Deemer 
and R. F. Gardiner under the direction of Drs. E. C. Shorey and P. R. Dawson, U. S. 
Bureau of Plant Industry. 

Not all elements in the soil are taken up as readily as selenium. 
The accumulation of a given element depends on the nature of the 
absorbing mechanism, which permits one substance to enter in greater 
amount than another. This capacity to control to some extent the 
materials entering the plant is known as “selective permeability ”, 
and it would seem that the mechanism involved should be such as 
to keep out a poison, like selenium, which so far as we know now is 
of no use to the plant. It seems quite possible that the easy entrance 
of selenium may be due to its chemical similarity to sulphur. Sul- 
phur is essential to plant growth, being a constituent of the proteins 
and other compounds necessary to the plant’s metabolism. Selenium 
and sulphur are closely related with respect to their chemical prop- 
erties. It does not seem unreasonable, therefore, to assume that 
selenium gets in with sulphur, so to speak, and that they enter in 
proportion to their relative availability in the substratum. 

The most striking evidence of such an interrelationship between 
sulphur and selenium appeared in the fact that when excess sulphur 
was made available to the plant the symptoms of selenium injury 
that developed otherwise could invariably be prevented (pl. 3, fig. 1). 
By means of sulphur treatments of both naturally seleniferous and 
artificially selenized soils the entrance of selenium into the plant 


5The analyses for selenium content were made by W. O. Robinson, U. S. Bureau of 
Chemistry and Soils. The feeding tests on white rats were carried on in the laboratories 
of Dr. Hazel Munsell, U. S. Bureau of Home Economics. 


SELENIUM—HURD-KARRER 295 


was markedly reduced, although in no instance was it entirely pre- 
vented (Hurd-Karrer, 1935). The proportionate amount of sele- 
nium entering apparently decreases as the proportionate amount of 
available sulphur increases. Of course, to have this effect elemental 
sulphur must become available to the plant, largely through the 
action of the soil organisms that convert it to soluble sulphates. 

Typical demonstrations of the inhibition of selenium injury to the 
plant by the addition of sulphur in the form of sulphate to quartz 
sand cultures are illustrated in plates 2 (fig. 2) and 8 (fig.2). In the 
experiment shown in plate 3 the plants were grown with 0.033 gram 
of sodium selenate added to each pot of sand. The sand in the dif- 
ferent pots was kept moist with nutrient solutions containing differ- 
ent concentrations of sulphur in the form of magnesium and ammo- 
nium sulphates. The plants with the nutrient solution containing no 
sulphate died in the seedling stage (a), those with a small amount 
were extremely chlorotic and stunted (>), those with a moderate 
amount were but slightly chlorotic (¢), while those supplied with a 
large amount showed no chlorosis (d and e) and were as good as the 
corresponding controls without selenium in both height and develop- 
ment. Chemical analyses of the plants of two such experiments 
showed that selenium absorption was reduced by the excess sulphate 
to about one-fourth that of plants with little or no sulphate. 

It was apparent from such experiments that the toxicity of sele- 
nium for plants is determined not by the absolute amount of selenium 
present but by the proportionate amount with reference to sulphur. 
To determine the critical ratio of the two elements—that is, the rela- 
tive amount of sulphur necessary to prevent injury from a given 
amount of selenium—I grew wheat seedlings in flasks containing 
nutrient solutions. These solutions were all of the same composition 
with respect to the essential ions potassium, calcium, magnesium, 
phosphorus, nitrogen, and iron; but the sulphur, in the form of 
sulphate, was varied in the different series. In some none was 
added,® causing the plants to be a pale green but not greatly stunted 
or otherwise injured by the sulphur deficiency over the 5 weeks’ 
period of the experiment. The highest sulphur concentration used 
was 192 parts per million, which was slightly toxic as shown by a 
perceptible reduction in height of the control plants. The selenium 
(as sodium selenate) was varied in the different flasks of each series 
in order to determine the amount necessary to injure the plants at 
each sulphur level. Growth of the plants in 3 of the 6 series is 
shown in plate 4. 


¢There was probably about 1 part per million of sulphur in these cultures from extra- 
neous sources, such as impure chemicals and fumigants used in the greenhouse. 


296 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Tasre 4.—The tovicity of selenium for wheat seedlings in relation to the sul- 
phur (as magnesium and ammonium sulphate) in the nutrient solution 
(injury indicated by plus signs) 


i Degree of injury to plants grown with the following concentrations 
Selenium of sulphate-sulphur (in parts per million) 
(in parts 
per million) 


pote CoS 0 10 32 96 192 


SCHOA hb 


ODA TRO 


The protective action of sulphur in the several such experiments 
may perhaps be most strikingly summarized by saying that the 
quantity of selenium necessary to kill the plants varied from about 
one part in a million, where no sulphate was added, to nearly 100 
times as much where there was the most sulphate—i. e., 192 parts 
of sulphur per million. Moreover, there was a definite relation be- 
tween the quantity of sulphate sulphur in the nutrient solution and 
the quantity of selenium required to produce a given effect on the 
plant (table 4). Thus the presence of 12 times as much sulphate 
sulphur as selenium always prevented injury regardless of the abso- 
lute amount of selenium supplied. Where there was only about 10 
times as much sulphate sulphur as selenium, slight stunting and 
traces of the white chlorosis appeared on the leaves. Where there 
was but twice as much sulphur as selenium, the plants eventually 
died.’ 

In these experiments (table 4 and pl. 4) the sulphur (as sulphate) 
of a given series was the same in each flask, the selenium content 
being varied. They were repeated with the selenium constant in 

7 These ratios cannot be used to predict toxicity in soils because the soil analyses on 


which they would of necessity be based do not show what concentrations are actually 
available to the plant. 


SELENIUM—HURD-KARRER 297 


each flask of a series and the sulphate variable. One of these series 
is shown in plate 5. The fact that the selenium-sulphur ratios as- 
sociated with the different degrees of injury to the plants were the 
same here as in the preceding experiments, although the nutrient 
solutions were of such different composition, increased the certainty 
and significance of an exact quantitative relation between sulphur 
availability and selenium toxicity. 

Of course, there is the possibility that with some entirely different 
set of conditions the absolute values of these ratios might be changed 
somewhat. However, the environment was changed purposely in 
the different experiments over a period of several years by growing 
the plants at different times of the year and at different tempera- 
tures, by varying the composition and the acidity of the nutrient 
solutions, and by renewing the solutions after each week with some 
and after 5 weeks with others. The critical sulphur-selenium 
ratio for the appearance of visible injury varied only between 9 
and 11. No relationship of this nature has been established for 
any other pairs of elements, the calcium-magnesium antagonism ap- 
proaching it most closely, perhaps, but apparently not with this 
high degree of reproducibility. 

The only way I have found so far to explain the relationship of 
sulphur and selenium is to assume that the root cannot tell the 
difference between them because of their chemical similarity. Assum- 
ing that this is true, then the amount of selenium taken in with a 
given amount of sulphur would depend on the proportionate amounts 
of the two which are available, the total absorbed being limited. Thus 
if there is a large excess of sulphur the root will get relatively little 
selenium. After the selenium gets in, it can be assumed that the 
plant proceeds to use it as if it were sulphur, but with serious results. 
Every molecule that gets selenium instead of sulphur would be 
disabled, as it were, and fail to function normally. When a large 
enough proportion of the molecules are affected the plant shows ex- 
ternal signs of injury. This theory of substitution adequately ac- 
counts for the quantitative aspects of the dependence of selenium 
toxicity on relative rather than absolute sulphur availability; and for 
the fact that chemical analyses show that excess sulphur reduces the 
amount of selenium taken up by the plant. 

The nature of the white chlorosis, which is typical of selenium in- 
jury to such plants as wheat and barley, suggests that some of the 
molecules susceptible to this substitution are involved in the synthesis 
of the green coloring matter, chlorophyll. Thus if the plastids were 
disabled by such a substitution in their protein molecules, then they 
might not function and the tissues would be white instead of green. 
It is interesting that one of the earliest experimenters with the effect 


298 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


of selenium on plants (Cameron, 1880) postulated that the injury 
was due to substitution of selenium for sulphur in some essential 
compound in the tissues. 

Regardless of the hypothesis to explain it, the tendency of an ex- 
cess supply of sulphur to reduce the amount of selenium taken up by 
plants may have some practical value. As a demonstration of this 
possibility, I grew wheat plants in outdoor soil plots to which sele- 
nium (as sodium selenate) was added at a rate of 2 parts of selenium 
in a million of soil, mixed in to a depth of 6 inches. This is an 
amount of selenium equal to the weight of about 20 grains of wheat 
mixed into a soil mass weighing considerably over half a ton. Into 
some of the plots was mixed ordinary flowers of sulphur at a rate 
corresponding to three-fourths of a ton to the acre. When the grain 
was ripe, its toxicity was tested by feeding it to white rats (Hurd- 
Karrer and Kennedy). That from the plots receiving selenium alone 
stunted the rats and produced the damaged liver typical of selenium 
poisoning, whereas that from the plots that had received sulphur with 
the selenium permitted normal growth and produced no detectable 
symptoms of poisoning (pl. 6). Gypsum (calcium sulphate) was 
similarly effective in rendering the grain nontoxic. 

Whether this effect of sulphur will supply the farmer with a prac- 
tical means of control or of amelioration of the disease caused by 
selenium awaits testing under field conditions in the affected areas. 
It is quite possible that the high cost of even the cheapest form of 
sulphur may make the treatment of poorly productive land un- 
feasible. 

One of the consequences of the theory that I have suggested to 
explain the selenium-sulphur relationship is that the more sulphur 
a plant normally requires in its metabolism, the more selenium it 
will take in. It is well known that some types of plants require 
more sulphur than others. Thus the plants of the mustard family, 
such as cabbage, broccoli, kale, and cauliflower, utilize a great deal 
to form the sulphur-containing compounds that give them their 
characteristic tastes and odors. They use so much that the sulphur 
of the soil musti be replenished if such crops continue to be grown. 
Plants of the grass family require very little, so that they can be 
grown year after year without producing a deficiency of sulphur 
in the soil. It was therefore of both theoretical and practical in- 
terest to find that when representatives of these groups were grown 
in selenized soil, the selenium they took up paralleled their sulphur 
absorption. In table 5 are reported a few of the data that have been 
obtained showing this parallelism. The high sulphur absorption 
of representatives of the Cruciferae (mustard family) is invariably 
associated with a high selenium intake, and the lower sulphur ab- 


SELENIUM—HURD-KARRER 299 


sorption of the cereals is associated with a lower selenium intake. 
The Leguminoseae (legume family) have in general been inter- 
mediate (table 2). 

Obviously, then, the safest crops to grow on seleniferous soils are 
cereals and grasses; and these are the crops that are chiefly raised 
on them now. Since all plants require sulphur, there is little hkeli- 
hood of any plant being entirely unable to take up selenium. 

That certain plants accumulate more selenium than others was 
first observed by Byers, who found that a certain wild aster (Aster 
multifiorus) growing in the seleniferous-soil areas (South Dakota) 
always contained more selenium than did the other vegetation. 
Shortly thereafter Beath and his coworkers (1934) found that cer- 
tain plants in a different area (Wyoming) also absorbed it at an 
extraordinary rate. One species of Astragalus was found to take 
up as much as a tenth of 1 percent of the air-dry weight of the 
tissues, apparently without injury (Beath, Draize, Eppson, et al., 
1934a). Byers (1935) subsequently showed that Astragalus bisulcatus 
consistently absorbed several hundred times as much selenium as 
another species of the same genus (A. missouriensis) growing beside 
it. He found the enormously high selenium concentration of 9,120 
parts per million in Oonopsis condensata. 

TABLE 5.—Comparative absorption of selenium and sulphur by some crop plants 
grown in greenhouse plots to which 5 parts per nvillion selenium (as sodium 


selenate) was added to the soil. (Figures are parts per million based on 
air-dry weight of tissues)* 


Selenium Sulphur 
Plant in plants | in plants 


IBrOCcCOli PSs aa o> aa an aaa nee 1, 330 32, 300 

Btgad- Fe hee a crt ote SEE 740 14, 800 
IB Br le yee as see ee eee eae 640 13, 600 
iWiheat.it3 itt. s8s i 2 see OS 550 12, 200 
Spinachmees essen eae eee eee 430 9, 000 


1Analyses made under the direction of Dr. E. C. Shorey, U. 8. Bureau of Plant Industry. 


Although selenium-containing grain seems to be normal, animals 
to which it is fed are able to detect something in it they do not like. 
The rats of the grain-feeding experiments (Hurd-Karrer and 
Kennedy) invariably refused to eat much for about a week, although 
later they ate normal amounts. However, others persisted indefi- 
nitely in their refusal to eat. Thus some young spinach grown in 
selenized soil in the greenhouse and containing between 300 and 400 
parts per million selenium remained almost untouched, the rats pre- 
ferring to starve for the 3-day intervals during which it was left 
in their cages. This spinach was fresh and succulent and with every 
outward appearance of being desirable food. But the rats detected 
the presence of the selenium, for when market spinach was sub- 


300 § ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


stituted they immediately recognized the difference and ate vora- 
ciously.® Other experimenters have reported a similar disinclina- 
tion to eat selenium-containing materials on the part of larger 
animals as well as of rats (Franke, 1934; Munsell). 

The higher animals are not the only creatures that show extraor- 
dinary sensitiveness to traces of selenium. Red spiders are reported 
to be very susceptible to selenium-containing insecticides. The 
aphids or plant lice that infested the healthy wheat in some of my 
experiments were never observed on those plants that were visibly 
injured by selenium. When selenium was supplied to the roots of 
plants already infested, the plant lice left. The number of aphids 
on the plants varied so consistently with the amount of selenium in 
the nutrient solution as to suggest that they might indicate the 
relative amounts of selenium in the plants with an accuracy com- 
parable to that of chemical analyses. It is interesting that algae 
grew well in the solutions nourishing the plants on which the plant 
lice died; and wheat mildew (L’rysiphe graminis) and smut (T%- 
letia tritici) attacked wheat plants containing relatively large 
amounts of selenium (several hundred parts per million). 

Whether man is susceptible to ills attendant upon a selenium-con- 
taining diet is not known. There have been occasional reports of 
abnormalities of human beings in the seleniferous areas suggestive 
of the symptoms of the poisoning in animals. But probably the 
danger is slight, especially outside the affected areas, because of the 
diversity of the normal human diet. 


LITERATURE CITED 


BEATH, O. A., DRAIZE, J. H., Eppson, H. F., Grvpert, C. S., and McCreary, O. C. 
1934. Certain poisonous plants of Wyoming activated by selenium and their 
association with respect to soil types. Journ. Amer. Pharm. Assoc., 
vol. 23, pp. 94-97. 
BeaTH, O. A., Draize, J. H., and GreBert, C. S. 
1934. Plants poisonous to livestock. Wyoming Agr. Exp. Stat. Bull. 200. 
Byers, Horace G. 
1935. Selenium occurrence in certain soils in the United States with a dis- 
cussion of related topics. U.S. Dept. Agr. Techn. Bull. 482. 
CAMERON, CHARLES A. 
1880. Preliminary note on the absorption of selenium by plants. Sci. Proc. 
Roy. Dublin Soc., vol. 2 (n. s.), pp. 231-233. 
Draizk, J. H., and BEATH, O. A. 
1935. Observations on the pathology of blind staggers and alkali disease. 
Journ. Amer. Vet. Med. Assoe., vol. 86, pp. 753-763. 
Evans, A. T., BusHey, A. L., and Kuuiman, A. H. 
1925. [Unpublished report in files of S. Dak. Agr. Exp. Stat. and U. 8. 
Dept. Agr.] 


®' These feeding tests were conducted under the direction of Dr. H. E. Munsell, U. S. 
Bureau of Home Economics. 


SELENIUM—HURD-KARRER 301 


FRANKE, K. W. 
1934a. A new toxicant occurring naturally in certain samples of plant food- 
stuffs. I. Results obtained in preliminary feeding trials. Journ. 
Nutrition, vol. 8, pp. 597-608. 
1934b. A new toxicant occurring naturally in certain samples of plant food- 
stuffs. II. The occurrence of the toxicant in the protein fraction. 
Journ. Nutrition, vol. 8, pp. 609-612. 
FRANKE, K. W., Rice, T. D., JoHnson, A. G., and SCHOENING, H. W. 
1934. Report on a preliminary survey of the so-called “alkali disease” of 
livestock. U.S. Dept. Agr. Cire. 320, 8 pp. 
GASSMAN, TH. 
1917. Die quantitative Bestimmung des Selens in Knochen- und Zahngewebe 
und im Harn. Hoppe-Seyler’s Zeitschr. Physiol. Chem., vol. 98, pp. 
182-189. 
1919. Zum Nachweis des Selens im Menschen-, Tier- und Pflanzenorgan- 
ismus. Hoppe-Seyler’s Zeitschr. Physiol. Chem., vol. 108, pp. 38-41. 
HUrRD-KARRER, ANNIE M. 
1934. Selenium injury to wheat plants and its inhibition by sulphur. Journ. 
Agr. Res., vol. 49, pp. 343-357. 
1935. Factors affecting the absorption of selenium from soils by plants. 
Journ. Agr. Res., vol. 50, pp. 413-427. 
HURD-KARRER, ANNIE M., and KENNEDY, Mary H. 
1936. Inhibiting effect of sulphur in selenized soil on the toxicity of wheat. 
Journ. Agr. Res. [In press.] 
KNIGHT, H. G. 
1935. The selenium problem. Journ. Assoc. Off. Agr. Chem., vol. 18, pp. 103-108. 
LEVINE, V. HE. 
1915. Biochemical studies of selenium. Ann. New York Acad. Sci., vol. 26, 
pp. 385-394. 
Netson, Ei. M., Hurp-Karrer, A. M., and Rosrnson, W. O. 
1933. Selenium as an insecticide. Science, vol. 78, p. 124. 
Noppack, I., and NoppAck, W. 
1934. Die geochemischen Verteilungkoeffizienten der Elemente. Svensk 
Kemisk Tidskrift, vol. 46, pp. 173-201. 
Rosrnson, W. O. 
1933. Determination of selenium in wheat and soils. Journ. Assoc. Off. 
Agr. Chem., vol. 16, pp. 423-424. 
Sroxnasa, J. 
1922. Uber die Einwirkung des Selens auf den Bau- und Betriebsstoffwechsel 
der Pflanze bei Anwesenheit der Radioaktivitiit der Luft und des 
Bodens. Biochem. Zeitschr., vol. 130, pp. 604-643. 
Strock, L. W. 
1935. The distribution of selenium in nature. Amer. Journ. Pharm., vol. 
107, pp. 144-157. 
Taroury, M. 
1932. Sur la présence accidentelle du sélénium dans certains végétaux. 
Compt. Rend., vol. 195, p. 171. 
TURINA, B. 
1922. Vergleichende Versuche tiber die Einwirkung der Selen-, Schwefel 
und Tellursalze auf die Pflanzen. Biochem. Zeitschr., vol. 129, pp. 
507-533. 
Wii1iAMs, K. T., and Byers, Horace G. 
1934. Occurrence of selenium in pyrites. Industrial Engin. Chem. Anal. 
Ed., vol. 6, pp. 296-297. 


¥ hy 
ne 
; ates 
atin 


aft 
frat 
5 
Er, 
rf : 
fy: ers 


Smithsonian Report, 1935.—Hurd-Karrer PLATE 


1. Cow poisoned by foodstuffs containing selenium. 


Reproduced from Circular 320, U. S. Dept. of Agriculture. 


2. Deformed hoofs of cow in above picture. 


Smithsonian Report, 1935.—Hurd-Karrer PEATE 


1. Plant poisoned by selenium, showing white chlorosis. 


2. At left, selenium injury to wheat seedlings in quartz sand. At right, plants given same amount of 
selenium but protected from injury by excess sulphate. 


Smithsonian Report, 1935.—Hurd-Karrer PEATE 3 


1. Prevention of selenium injury to wheat plants by elemental sulphur treatments of selenized soil. 
(a) Plants in Pierre clay injured by the addition of 10 p. p. m. selenium as sodium selenate; (6) uninjured 
where excess sulphur was added also; (c) injured by 20 p. p. m. selenium; (d) uninjured where excess 
sulphur was added also. 


2. Wheat plants growing in quartz sand containing 0.033 gram of sodium selenate per 7,000 grams of sand 
and differing amounts of sulphate sulphur (as magnesium and ammonium sulphates). The plants are 
dead with no sulphate (a), almost dead with sulphate supplying 10 p.p.m. sulphur (5), chlorotic with 
32 p.p.m.(c), and normal with 96 and 192 p.p. m. (d and e). 


Smithsonian Report, 1935.—Hurd-Karrer PLATE 4 


1. Plants in nutrient solutions containing 10 p. p. m. sulphate sulphur injured by 1 p. p. m. selenium. 


2. Plants in nutrient solutions containing 32 p. p. m. sulphate sulphur uninjured by 2 p. p. m. selenium, 
injured by 3p. p. m. selenium. 


3. Plants in nutrient solutions containing 192 p. p. m. sulphate sulphur uninjured (except for slight stunting 
from excess sulphur) by 15 p. p. m. selenium, injured by 18 p. p. m. selenium. 


DEMONSTRATION OF A CRITICAL SELENIUM-SULPHUR RATIO WITH WHEAT PLANTS 
GROWN IN NUTRIENT SOLUTIONS CONTAINING 10, 32, AND 192 P. P. M. SULPHUR 
AS MAGNESIUM AND AMMONIUM SULPHATES, AND VARIOUS SELENIUM CON- 


CENTRATIONS. 


Figures under flasks denote parts per million selenium as sodium selenate. 


Smithsonian Report, 1935.—Hurd-Karrer PLATE 5 


RELATION BETWEEN SELENIUM TOXICITY TO WHEAT AND THE AMOUNT OF 
SULPHATE SULPHUR IN THE NUTRIENT SOLUTION. 


The plants to the extreme right are killed by 3 p. p. m. selenium (as sodium selenate) in the absence of 
sulphur. From right to left the plants show decreasing injury from this amount of selenium as the 
sulphate increases, until the plants become normal with 36 p. p. m. sulphur. (The first control culture 
to the extreme left shows injury from sulphur deficiency.) 


Smithsonian Report, 1935.—Hurd-Karrer PLATE 6 


1. Normal liver (control). 


2. Liver produced by wheat grown with 2 p. p. m. selenium (as sodium selenate) added to the soil. 


3. Liver of rat fed wheat grown on selenized soil like that producing the grain for the rat in figure 2, but 
with an application of sulphur at the rate of 1,500 pounds per acre. The liver appears normal in every 
respect. 


COMPARATIVE DEVELOPMENT OF THE LIVERS OF WHITE RATS FED WHEAT GROWN 
ON SELENIZED SOIL WITH AND WITHOUT APPLICATIONS OF SULPHUR. 


THE GLACIAL HISTORY OF AN EXTINCT VOL- 
CANO, CRATER LAKE NATIONAL PARK’ 


By WALLACE W. ATWwoop, JR., 


Clark University 


[With 6 plates] 


THE GLACIO-VOLCANIC SEQUENCE 


Hidden away in the volcanic rocks of the Cascade Range of 
southern Oregon is the record of Mount Mazama, an ancient vol- 
canic cone that grew to great height and later disappeared entirely, 
leaving a giant caldera in which the deep-blue waters of Crater 
Lake have since accumulated (pl. 1). The story of this mysterious 
mountain is recorded in the rocks of the region. Like leaves in a 
book, the alternating layers of laval and glacial material in the rim 
surrounding Crater Lake tell the story of the late monarch of the 
Cascade Range. 

During the vulcanism of mid-Tertiary time small volcanic cones 
developed in the Cascade region, one of which was destined to be- 
come Mount Mazama (fig. 1). With continued igneous activity 
the youthful mountain attained sufficient altitude to cause heavy 
precipitation on its slopes. Snows accumulated and remained 
through succeeding seasons. Glaciers were born, and the ice fields 
moved slowly down the slopes of the intermittently active volcano 
(fig. 2). Evidence of these early glaciers is found in the form of 
till deposits buried beneath several hundred feet of volcanic ma- 
terial and younger glacial debris. 


Glaciers on the slopes of a volcano sooner or later are apt to fall 
victim to renewed lava eruption. In the case of young Mount 
Mazama, the glaciers were destroyed several times during the growth 
of the mountain. The glacial landscape of figure 2 was changed to 
the volcanic landscape of figure 38. Gradually this activity subsided 
and the scene reverted to a glacial landscape (fig. 4). This succession 
of changes may be called the “ glacio-volcanic sequence.” While the 
pen-and-ink sketches show only one sequence, the glacial deposits 
"1 Reprinted by permission, with slight alterations, from the Journal of Geology, vol. 43, 
no. 2, February-March 1935. 

303 


304. ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


FIGURE 1.—The youthful Mount Mazama as it may have looked during the early stages of 
its growth. Continued volcanic activity gradually produced a mountain. 


Ficure 2.—A later stage in the growth of the voleano. The cone is dormant and small 
glaciers are present. Successive stages of vulcanism and glaciation followed. 


Vicurs 3.—Mount Mazama during one of its last periods of volcanic activity. A second- 
ary cone, Little Mazama, is situated on the western slope. 


EXTINCT VOLCANO—ATWOOD 305 


Ficurn 4.—The last glacial landscape. The U-shaped valleys which notch the present rim 
were produced during this final ice invasion. The dotted line indicates the location of 
the rim. 


Wicure 5.—The present Crater Lake located in the giant caldera, formed by the collapse 
and engulfment of Mount Mazama. The Wizard Island cinder cone developed after the 
disappearance of the mountain. 


STRUCT 


Ficure 6.—A generalized cross-section of the region today. The alternating layers of till 
and volcanic material record the story of the growth of Mount Mazama. The dotted 
lines mark the several stages represented in the preceding drawings. 


306 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


exposed in the rim surrounding the present lake indicate that four, 
and possibly many more, stages of glaciation were interspersed with 
the periods of vuleanism. This continued glacio-volcanic sequence 
is suggested in figure 6. 

It will be noted from the sketches that the mountain at first had 
but one cone, while during the later stages of volcano building a 
secondary cone developed. This smaller mountain is Little Mazama. 
The absence of this cone during the glacial stage illustrated by 
figure 2 and its existence during later stages in the growth of the 
mountain are determined by the direction of striae markings found 
buried at different levels beneath lavas and glacial debris (see figs. 
12 and 13). 

Without discussing at this place each of the glacio-voleanic se- 
quences, we arrive at the stage in the growth of the mountain 
represented by figure 4. The volcano was apparently dormant, and 
large glaciers radiated from the summits of Mount Mazama and 
Little Mazama. While these glaciers still existed, there commenced 
a gradual destruction of the cone. Renewed volcanic activity pro- 
duced a shower of pumice which whitened the entire landscape. 
Many of the high points on the rim, as well as the morainic deposits 
left by the last glaciers, are still partially buried beneath this pumice. 
But in spite of the enormous amounts of this fine debris scattered 
over the landscape, the disappearance of the entire mountain mass 
above the dotted line in figure 4, and much of the core to a depth 
of 3,000 to 4,000 feet below the present rim, cannot be explained by 
explosive eruption alone. 

Approximately 15 cubic miles of material have disappeared in 
order to produce the landscape shown in figure 5. If explosion 
accomplished this great change, we would expect to find a thick 
mantle of fragmental andesitic lava and breccia seattered over the 
surrounding countryside. Furthermore, the glacial deposits, formed 
by the glaciers which existed only as long as the mountain existed, 
should be heavily buried with the fragmental material derived from 
the destruction of the mountain. Instead we find very little angular 
material in the region, and most of that had its origin prior to the 
last glaciers which existed on the mountain before its destruction. 

The possibility that Mount Mazama never became a high vol- 
canic cone was carefully considered in the field. If the mountain 
had not exhibited evidence of recurrent glaciation, the existence of 
a high cone would have been difficult to establish. However, since 
glacial evidence is unmistakably present and, furthermore, since the 
Pleistocene glaciers of the Cascade Range were restricted to the 
higher mountains, it is logical to conclude that Mount Mazama 
attained a height comparable to the peaks of the Cascade Range 


EXTINCT VOLCANO—ATWOOD 307 


which carried glaciers during that period. On the basis of the 
glacial record, the approximate height of Mount Mazama has been 
established. 

Unlike Krakatoa and Katmai, Mazama did not blow itself to 
pieces; but instead, it is believed, this mountain collapsed and was 
engulfed. As early as 1901 Joseph 8. Diller proposed this theory in 
his presidential address delivered before the Geological Society of 
Washington.2 A year later the results of Diller’s field work ap- 
peared as a professional paper of the United States Geological Sur- 
vey. Although it is difficult to conceive of such a phenomenon, field 
evidence to date affords no acceptable alternative. The mountain 
certainly existed; the mountain is now gone, and the 15 cubic miles 
of material have not been found. The processes of engulfment were 
probably slow. They may have been similiar to the caving-in which 
takes place in Hawaii, where the huge calderas are from time to 
time being enlarged by engulfment. 

Following the formation of the giant caldera near the close of the 
Pleistocene, or shortly thereafter, there was a brief period of inac- 
tivity interrupted by the building of Wizard Island cinder cone and 
two other smaller cones reported to exist on the floor of the present 
lake. Since the completion of the Wizard Island Cone, there has 
apparently been no volcanic activity in the immediate region. 

With the cessation of vulcanism a lake formed in the bottom of 
the caldera. The annual precipitation far exceeded the amount of 
water lost each year by evaporation and seepage, and consequently 
the lake level rose. Crater Lake is now nearly 2,000 feet deep, and 
it maintains a relatively constant level throughout the year. A cer- 
tain amount of water disappears through underground channels 
and reappears in numerous springs on the lower slopes of the 
mountain base. ; 

IMPORTANT LOCALITIES 


In order to unravel the long and complicated history of Mount 
Mazama, many field observations were made on the precipitous cliffs 
surrounding the lake. A few of the significant localities will be 
described and related to the glacio-volcanic sequence which preceded 
the collapse and engulfment. The locations of all exposures men- 
tioned are shown on the reference map, figure 7. 

Discovery Point (1).—On the rim at Discovery Point, partially 
covered by overlying pumice material, are several beautiful polished 

2 Diller, J. S., The wreck of Mount Mazama, abstract published in Science, n. s., vol. 15, 
pp. 203—211, January—June 1902. 


3 Diller, J. S., and Patton, H. B., The geology and petrography of Crater Lake National 
Park. U.S. Geol. Surv. Prof. Paper 3. 


36923—36——21 


308 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


NorthvEntran 
b} 
30°° 


Lge is 
2 


aa AA oe CRA TER 
AUEU MAN S02 é y ELEVATION 6/77 FEET 
7000 "250/4y 


3, ~ 8259 
ure ie. 
yi DISCOVERY, PT) CLOUDCAP 


’ 60707 
SC \ SENTINEL 
ROCK 
= y) 
y (ay 
‘ sHip (JZ 7 
I f 
// g 
| AR ‘APPLEGAT E(PK: 


Ip ROCK 725, \ 
Apart Headquarte a) 
\S 
. i a 
oe! ° 2 
7p 


NUMBERS DESIGNATE LOCALITIES 
REFERRED TO IN THE TEXT 


CONTOUR LINES.CONTOUR INTER- 


OVAL 250 FEET 


a PRINCIPAL HIGHWAYS. 
° ' 


Ficur® 7.—Index map of the Crater Lake Region. 


and striated rock surfaces (pl. 3, fig. 1).4 The existence of these 
striae on the surface lavas indicates that glacial ice crossed this 
portion of the rim following the last lava eruption. 

When standing on the striated surface close to the edge of the 
cliff, it is possible to look down approximately 40 feet to another 
glacially polished surface. Upon investigation it is discovered that 
these glacial scratches are covered with 10 feet of boulder till, and 
that the till is, in turn, capped with 30 feet of lava. This relation- 
ship is best shown in plate 3, figure 2. How did the glacial material 
become sandwiched in between flows of lava? The answer is 


* All photographs, unless otherwise credited, are official pictures of the National Park 
Service. 


EXTINCT VOLCANO—ATWOOD 309 


wrapped up in the growth of Mount Mazama. The lower glacial 
horizon is related to a stage of glaciation which was abruptly ter- 
minated when the mountain erupted the lavas which now cap the till 
deposits. The upper glacial horizon dates to the last glacial stage 
which occurred after the surface lavas had cooled and before the 
mountain collapsed. 

Identification of the striae and glacial till deposits which occur 
over and over again within the Crater Lake region has been made 
only after considering all alternative possibilities. Structure within 
the volcanic rocks has been carefully eliminated as a factor in pro- 
ducing the polished and grooved lava surfaces. It should be stated, 
however, that certain exposures exhibit scratches which are definitely 
due to causes other than glaciation. All such exposures have been 
eliminated from consideration in the present study. The recogni- 
tion of till deposits has been made on the basis of physical and 
lithologic composition and on the existence of subangular and 
striated stones. While the writer is aware of the difficulties asso- 
ciated with the identification of glacial scratches, he feels certain 
that the variety and kind of evidence available at Crater Lake points 
conclusively to a glacial origin for the features here described. 

Glacier Point (2).—Close to the trail which follows the rim east 
of Discovery Point is an excellent exposure illustrating three stages 
of glaciation. Three lava flows of different ages exhibit striae (fig. 8)- 
The lower surface is capped with till containing subangular and 
striated stones, while the other levels are relatively free of glacial 
debris. 

South of the Watchman (3).—About half way between Discovery 
Point and the Watchman, resting upon a striated lava surface, is a 
thin layer of glacial till and in turn some 50 feet of stratified 
pumice and fragmental material. In the pumice is a carbonized log 
standing in upright position. The stump and roots appear to have 
decomposed, allowing a portion of the log to settle. D. 8. Libbey, 
the park naturalist, in collaboration with Albert E. Long, exca- 
vated the log during the summer of 1933. It is believed that the 
tree was growing in a thin layer of glacial till when volcanic ash 
and pumice buried it. The roots and base of the tree were buried 
first by cool pumice, but subsequently hot volcanic ash and pumice 
settled around the tree so fast that air was excluded, combustion 
was prevented, and carbonization resulted® (fig. 9). 

North of the Devils Backbone (4).—Beside the rim road a short 
distance north of the Devils Backbone is a beautifully polished and 
striated surface of lava (pl. 4, fig. 1). Resting upon this is a thin 
layer of till and a deposit of pumice, locally several feet thick and 


5 Libbey, D. S., Carbonized tree found within the rim. Nature Notes, Crater Lake 
National Park, vol. 6, no. 3, August 1933. 


310 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


interbedded with angular fragments of andesitic lava. In places the 
pumice rests directly upon the well-striated surface. 

Near North Entrance Ranger Station (5).—Beneath pumice and 
what appears to be a much-fractured lava formation is an old weath- 
ered surface which exhibits well-developed glacial grooves (pl. 4, 
fig.2). The poor preservation of the surface and its buried location 
suggest that the markings are older than those found just north of 
the Devils Backbone. If talus material did not cover so much of the 
inner slope at this point, it would probably be possible to relate this 


STRIAE 
N.IZE. 


STRIAE 
N.656 


| PUMICE AND 
| FRAGMENTAL 
MATERIAL 


TILL 


STRIAE 


= 
one, SI (OP EET. 


Ficure 8.—Three stages of glaciation at Glacier Point. Locality 2. 


grooving to the earlier of the glacial stages recognized at Discovery 
Point. 

Llao Rock (6). —From a point on the rim just east of the North 
Entrance Ranger Station, it is possible to view the steep front of 
Llao Rock. If one is equipped with a pair of good boots, it is pos- 
sible to crawl along at the base of the steepest portion and reach 
a position marked A in plate 5, figure 1. Here, buried beneath the 
lava of Liao Rock, is a heavy boulder till containing numerous well- 
striated stones ranging from a few inches to a foot in diameter. 
The material is characteristically glacial in appearance. A few hun- 
dred feet farther down the slope, and several hundred yards to the 


EXTINCT VOLCANO—ATWOOD 311 


south, is a glacially polished bedrock surface overlain by boulder 
moraine. The position of these various evidences of glaciation be- 
neath the dacite flow which produced Llao Rock is conclusive proof 
of glaciation on Mount Mazama prior to the eruption which pro- 
duced the Llao Rock flow. From a vantage point on the lake or on 
the opposite rim, an excellent view of Llao Rock is obtained which 
shows very clearly the topography which existed before the Llao 
Rock flow descended the slopes of Mazama (pl. 5, fig. 2). On the 
basis of the glacial evidence reported above, the pre-Llao topog- 


CARBONIZED LOG 


‘PUMICE AND | GLACIAL 
FRAGMENTAL DEBRIS 


MATERIAL , STRIAE 


toe JOFEET 


FIGURE 9.—A carbonized log buried beneath pumice and fragmental material. Locality 3. 


raphy presented a glacial landscape and the U-shaped form of the 
central portion of the Llao flow is due to glacial scour in the valley, 
which was later occupied by the lava stream. Because of inaccessi- 
bility it was impossible to determine whether glacial material exists 
beneath the central portion of the flow. 

Steel Bay (7).—After considerable difficulty a section was investi- 
gated at the western edge of Steel Bay. The very steep walls pre- 
vented complete examination, but the record uncovered was never- 
theless of value. There are two distinctly striated surfaces—one 
buried beneath approximately 100 feet of pumice and the second 
several hundred feet down the cliff. 


oi2 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Pumice Point (8).—Across Steel Bay to the east is Pumice Point, 
easily identified from almost any position on the rim because of its 
large white pumice face. On closer inspection, however, it is dis- 
covered that there is more than pumice on Pumice Point (fig. 10). 
Interbedded in the volcanic material are layers of glacial till and old 
soil. The sequence of events has evidently been one of glaciation, 
vulcanism, and renewed glaciation, followed by an interval during 
which soil developed and then by another period of vulcanism. 


SO/L ZONE 


STRIAE 
N.18 E. 


| STRIAE 


tat 10 FEET 


FIGURD 10.—Two glacial stages at Pumice Point. A soil zone appears in the upper por- 
tion of the younger till layer. Locality 8. 


The upper portion of the younger till layer is a dark-colored soil 
zone containing an abundance of vegetal material, much of it charred. 
The existence of the soil layer on the steep pumice talus slope was 
first suggested by a band of vegetation which appeared on an other- 
wise barren hillside. By removing the veneer of pumice, the mois- 
ture-retentive soil zone was sHeearere i The relationships here are 
similar to those on the rim south of the Watchman, although the 
carbonized material at Pumice Point is limited to small fragments. 
Future excavations may uncover larger and better-preserved repre- 
sentatives which, it is hoped, can be identified. The real significance 
of the soil zone in the story of Mount Mazama is the time interval 


EXTINCT VOLCANO—ATWOOD 313 


implied. Like the periods of vulcanism and glaciation, the periods 
when soil developed and vegetation became established on the moun- 
tain required time. These records make it possible to reconstruct 
partially the time intervals in the growth of Mount Mazama. The 
lava surfaces exposed beneath the glacial till were well striated in a 
N. 32° E. direction. 

Pumice Drive (9).—A short distance northeast of Pumice Point 
and 75 feet below the level of the highway is a layer of till 5 feet or 
more in thickness, containing many well-striated stones, some of 
them as much as 2 feet in diameter. The lava beneath the glacial 
material is so weathered that all record of striae has been long since 
destroyed. Above the till are 30 feet of stratified pumice followed by 
{0 to 15 feet of lava breccia and 30 feet of pumice. The conditions 
here suggest that considerable eruption followed the last glacial 
advance in this locality. 

The Wineglass (10).—North of Cloudcap and east of the Palisades 
is an interesting feature known as the Wineglass. Viewed from the 
lake, the white talus material appears like a huge goblet, the con- 
stricted portion at the base of the bowl being produced by a resistant 
layer of columnar lava. Resting on this columnar lava is a deposit 
of glacial till consisting of a variety of volcanic rocks, many of them 
subangular and striated. Many of the larger stones are 2 feet in 
diameter. Above the till are approximately 20 feet of pumice fol- 
lowed by 10 to 15 feet of lava breccia and 25 feet of pumice. Bedrock 
striae were not observed at this locality. 

Skell Head (11).—A short distance from the rim road northeast 
of Skell Head a thin deposit of glacial till rests upon striated bed- 
rock. The till contains nicely rounded and striated stones, some of 
which suggest the work of water as well as of ice. Compass readings 
indicate that the ice moved in a N. 50° E. direction across the bed- 
rock surface. 

Cloudcap (12).—On the rim directly west of Cloudeap is a layer 
of pumice and fragmental material well over 100 feet in thickness 
resting upon a striated lava surface. Owing to the inaccessibility of 
the bedrock exposures and the advanced stage of weathering, only 
two striae readings were recorded, both indicating a N. 70° W. direc- 
tion. Unlike most localities thus far discussed no layer of dis- 
tinctly glacial material was found. Numerous subangular stones 
suggest that at least a portion of the fragmental material overlying 
the glacial surface was transported by ice. 

Sentinel Rock (13).—A mile to the southwest of Cloudcap is 
Sentinel Rock, a promontory readily recognized from almost all out- 
look points on the rim. Here a resistant lava formation is buried 
under layers of pumice and fragmental material. In 1931 excellent 


314 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


striae were located on a partially loosened block close to the edge of 
the cliff. By allowing for the amount of displacement, a reading of 
N. 75° W. was obtained. In 1933 the same locality was revisited, 
but the block had disappeared. In hopes of locating new exposures, 
search was made to the south along the contact between the lava 
and overlying fragmental material. While bedrock striae were not 
found, owing to the weathered character of the exposed rock, an 
excellent boulder moraine was discovered. The lower layer of frag- 
mental material which was resting upon the lava at Sentinel Rock 
gave way to glacial till containing nicely polished and striated stones. 
Above the till was a thick layer of stratified pumice and occasional 
bands of coarser material. Even with absence of bedrock striae, 
evidence of a buried glaciation was convincing. 

Kerr Notch (14).—On the steep cliff of Danger Bay, just north of 
Kerr Notch and 500 feet below the glacial material referred to above, 
is a second buried glacial deposit. Striated stones ranging from 
small pebbles to boulders 2 feet in diameter are common. The upper 
portion of the till is roughly stratified, suggesting that rains or 
glacial flooding accompanied the deposition. Above the glacial ma- 
terial is a layer of columnar lava followed by alternating layers of 
pumice and breccia; below it is a much weathered lava on which 
no striae were found. 

In addition to buried evidence of glaciation, the U-shaped profile 
of Kerr Valley offers proof of ice action (pl. 5, fig. 3). Like the 
glaciated surfaces west of Cloudcap, the U-shaped floor of Kerr 
Valley is buried with stratified pumice and fragmental material. 
Since the stratification appears undisturbed, it is to be inferred that 
glaciers did not exist in these areas during or after the eruption of 
pumice. Judging from the heavy accumulation of pumice at Cloud- 
cap, as compared with the 30-40 feet at Kerr Notch, glacial ice 
probably remained in the valley for some time after it had aban- 
doned the higher land to the north. 

Sun Notch (15).—Between Applegate Peak and Dutton Cliff is 
the broad U-shaped valley of Sun Creek (pl. 2, fig. 1). Below the 
usual layer of pumice is a striated lava surface over which the ice 
rode. At several locations between the highway and the rim 
morainic features were recognized, although most of them were more 
or less effectively buried by pumice and fragmental material. As at 
Kerr Notch, the relationships suggest that the glacier abandoned the 
valley prior to the last pumice eruptions. 

Dyar Rock (16).—A short distance west of Sun Notch in the col 
between Garfield and Applegate Peaks a layer of glacial till rests 
upon a striated lava surface. Compass readings indicate that the 
ice proceeded in a N. 10°-20° E. direction. Above the till is a layer 


EXTINCT VOLCANO—ATWOOD 315 


of pumice and fragmental material similar to that found in Sun 
Notch to the east. Back from the rim where the till and pumice 
covering has been partially removed by wind and rain, some bedrock 
outcrops exhibit striae. One and a half miles south of the rim, close 
to the highway, good morainic topography indicates that glacial ice 
once covered part, if not all, of the slope west of Vidae Ridge. 

Munson Valley (17).—Directly east of the Government camp and 
superintendent’s office in Munson Valley is one of the best morainic 
evidences of glaciation to be found in the park. While striae are 
very scarce, the curving form of the ridges and their hummocky 
topography leave no doubt as to their glacial origin. Unlike most 
of the glacial features thus far reported, these moraines are not 
buried by pumice. 


KETTLE HOLES 


PUMICE 


BOULDER TILL 


FiegurRn 11.—Buried kame and kettle topography on the Middle Fork of Annie Creek. 
Locality 18. 


Middle Fork Annie Creek (18).—Three miles south of the govern- 
ment camp between Middle Fork and Annie Creek is a most inter- 
esting topography resembling kame-and-kettle moraine. Directly 
opposite, on the other side of Annie Creek along the highway north 
of Pole Bridge Creek, is a similar topography. In both areas there 
are numerous hills of pumice separated by depressions in pumice. 
Not until a cross-section of the material was discovered in the valley 
of Middle Fork a little over a mile above the junction of that stream 
with Annie Creek did an explanation come to light (fig. 11). In the 
bottom of the V-shaped gorge were hundreds of large polished bould- 
ers that certainly did not originate from the pumice formation. On 
closer examination several of these boulders were found to be striated. 
With this clue a careful study was made of the walls of the gorge. 
The upper 20-30 feet were composed of dry pumice, while the lower 


316 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


40-50 feet were soaking wet and grass-covered. Numerous springs 
issued at the top of the grassy portion, making it extremely difficult 
to negotiate the steep slope. The line of springs marks the top of 
relatively impervious morainic material from which the boulders in 
the stream bottom were derived. 

The walls of this gorge provide the cross-section of the kame-and- 
kettle topography. With the underlying material identified as boul- 
der till, it is safe to assume that the puzzling hills and depressions 
resulted from glacial deposition and that the pumice veneer is but 
a postglacial camouflage. 

The full significance of this buried hummocky moraine may rest 
in its suggestion of the terminal position of the Munson Valley 
glacier. ‘To be sure, there is no proof that the deposit does not repre- 
sent a recessional stage of the glacier; and no evidence thus far ob- 
tained would deny a much more extensive glaciation than is here 
described. Some day the valley of Annie Creek may reveal new 
clues; but until definite evidence of ice action is found farther down 
the valley, there is no reason for assuming that ice proceeded beyond 
the position indicated on Middle Fork. ‘The possibility of securing 
new evidence at greater distances from the rim is very slight in view 
of the vast pumice and ash deposits which bury so much of the 
former glacial landscape. 

South of the Devils Backbone (19).—Within the rim just south of 
the Devils Backbone and only 300 feet above the lake level is the 
oldest record of glaciation discovered in the region (pl. 6, fig. 1). 
Buried beneath 800 to 900 feet of lava and volcanic material of 
various kinds is a deposit resembling till, although striae do not 
appear. Underlying this formation, however, is a striated bedrock 
surface indicating that even during the early stages of volcano 
building, the cone of Mount Mazama attained sufficient height to 
allow glaciers to form and descend to elevations of approximately 
6,500 feet. One naturally wonders how high the mountain was 
during this early stage, but adequate evidence on which to base any 
calculation is entirely absent. 

Palisades (20).—A short distance to the west of the Wineglass is 
a massive flow which produces a precipitous cliff 300 to 400 feet 
high, known as the “ Palisades.” At the foot of this cliff is a long 
talus slope underlain in part at least by heavy boulder moraine 
(pl. 6, fig. 2). Approaching the exposure from the lake, the sub- 
angular form of the boulders is the first characteristic to be noted. 
Closer inspection reveals striae. The surface on which the till rests 
is undoubtedly beneath the level of the lake. This glacial deposit is 
lower in elevation than any found within the rim, but it is not so 
deeply buried under volcanic material as the old striated surface 
south of the Devils Backbone. 


EXTINCT VOLCANO—ATWOOD old 


PROJECTED STRIAE 


In plotting the striae readings found on the rim, certain very in- 
teresting facts came to light. All striae that appeared to be associ- 
ated with the last advance of ice were recorded on the map. This 
selection included the striae that were buried by pumice and frag- 
mental material, but not those beneath lava flows. When the read- 
ings were complete, the lines indicating direction were projected 
toward the lake, with the result shown in figure 12. It is not safe 
to place too much significance on this type of mapping; neverthe- 


Ficur® 12.—The direction of ice movement during the final stages of glaciation on Mount 
Mazama. The projected striae suggest that there were two centers of ice dispersal— 
one somewhere above the middle of Crater Lake, and the other above Wizard Island. 


less, certain results appear convincing. Most of the lines projected 
from readings on the north, south, and east rims roughly converge 
above the center of the lake. This fact, coupled with the volcanic 
evidence in the rocks surrounding the lake, suggests rather definitely 
that the summit of the original Mount Mazama was somewhere 
above the center of the present Crater Lake. 

A second center of intersection of projected striae appears over 
Wizard Island. This is certainly no mere coincidence but instead 
seems to prove the existence of a secondary cone which, like Shastina 
on the side of Mount Shasta, grew on the slope of Mount Mazama. 


318 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The ice which crossed the rim between Discovery Point and the 
Devils Backbone undoubtedly originated on this peak which once 
existed above the present Wizard Island (figs. 4 and 5). If this is 
the case, Wizard Island is probably the result of renewed activity 
from the same channel from which, in an earlier period, came the 
lava which produced Little Mazama. 

Following this method of investigation a little further, another 
map has been constructed showing the direction of the striae which 
exist within the crater rim and are definitely related to the earlier 


FIGURE 13.—The direction of ice movement during the early stages of glaciation on Mount 
Mazama. ‘The projected striae suggest that the ice spread outward from a mountain, 
the central peak of which was somewhere above the middle of the present lake. 


stages of glaciation (fig. 18). For example, the reading recorded at 
Pumice Point is 300 feet below the rim, and the one just south of the 
Devils Backbone is over 800 feet below the rim or 300 feet from the 
water’s edge. While the number of striae readings are necessarily 
fewer than those available for more recent glacial stages, the results 
obtained from their projection may be of equally great interest. The 
projected striae roughly converge above the center of the lake, again 
suggesting a central position for the main peak of the mountain of 
Mount Mazama down whose slopes the early glaciers moved. No 
projected striae converge over Wizard Island. This indicates that 


EXTINCT VOLCANO—ATWOOD 319 


no secondary cone had come into existence when the early glaciers 
were present. Any more definite conclusions must await further 
study of the volcanic history of the region. 


THE SIGNIFICANCE 


A glacio-voleanic sequence similar to that so clearly recorded in 
the rocks surrounding Crater Lake has probably occurred in the 
history of Mount Rainier, Mount Hood, Mount Shasta, and other 
volcanoes of the Cascade Range, but the evidence is not visible. 
Although Mount Rainier is dormant at present, the glaciers on its 
slopes are always in danger of being destroyed by a renewed volcanic 
eruption. Thus, previous generations of glaciers may have been 
destroyed. If the summit of Mount Rainier were suddenly to dis- 
appear, leaving a giant caldera in the base of the mountain, many 
of the conditions observed today at Crater Lake would very prob- 
ably be duplicated. The collapse of Mount Mazama opened a book 
for the geomorphologist which might otherwise have remained 
closed forever. 

From the standpoint of the glaciologist and vulcanologist the 
results of the Crater Lake study are not limited in application to the 
Cascade Mountain region but apply to all volcanic areas where the 
summits rise to sufficient altitude to allow glaciers to form or where 
previous conditions have favored glaciation. Assuming that the 
stages in the growth of Mount Mazama preceding its collapse were 
normal for high volcanoes during the Pleistocene, we should expect 
to find similar glacio-volcanic sequences in many of the mountain 
regions throughout the world. Unfortunately, the records of other 
volcanoes are so completely hidden that a sequence comparable to 
that discovered at Crater Lake may never be available for study. 
Evidence of glacio-volcanic sequences may, however, be uncovered 
in the walls of the stream valleys which radiate from large volcanoes. 
It is very probable that the valleys which dissect the lower slopes of 
Mount Rainier hold records of this kind. 

In addition to the light which Mazama’s story may cast upon the 
history of other volcanoes, there is a still greater significance. Each 
glacial deposit exposed in the rim indicates that snow accumulated 
on the mountain and that ice fields developed of sufficient size to 
descend the slopes, polishing and deeply striating the rocks. The 
time required to accomplish this task is necessarily great, probably 
many thousand years. The four known glacial records interbedded 
with volcanic materials indicate four long intervals in the growth of 
Mount Mazama. 

The development of a soil horizon like that at Pumice Point re- 
quired much time. Each layer of volcanic breccia overlain by a 


320 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


lava flow implies that the volcano changed from an explosive type 
to a quiet eruptive type. The occurrence of dacite instead of an- 
desite during the late stages of mountain growth signifies internal 
changes. Each successive layer of volcanic material exposed in the 
rim required time to accumulate, and each one that was followed by 
glaciation required time to cool before the process of snow accumu- 
lation could start. 

Thus the glacial record of an extinct volcano helps to establish 
time intervals in volcano-building and contributes to the knowledge 
of earth history. 


Smithsonian Report, 1935.—Atwood PLATE 1 


1. WIZARD ISLAND AND THE WESTERN RIM. 


The massive flow producing the high cliff beyond and to the left of Wizard Island is Llao Rock. 


2. THE RUGGED EASTERN RIM WITH LARGE TALUS SLOPES REACHING THE 
WATER'S EDGE. 


Phantom ship appears in the foreground. 


Smithsonian Report, 1935.—Atwood PLATE 2 


Official photograph, U.S. Army Air Corps 


1. LOOKING SOUTHEAST FROM A POINT ABOVE AND TO THE WEST OF THE DEVILS 
BACKBONE. 
The remarkable U-shaped valley of Sun Creek, visible in the photograph, is the result of glacial scour 
immediately preceding the collapse of Mount Mazama. 


Official photograph, U. S. Army Air Corps. 


2. CRATER LAKE FROM ABOVE THE CLOUDS. 


On the far side of the rim the U-shaped valleys of Sand and Sun Creeks are visible. In the background 
lies the valley of the Klamath River. 


Smithsonian Report, 1935.—Atwood PLATE 3 


1. GLACIALLY STRIATED SURFACES AT THE EDGE OF THE RIM WEST OF DISCOVERY 
POINT. 


2. NHE TYPE LOGALITY ArT DISCOVERY POINT- 


The striated surface of figure 1 (above) occurs on the rim a few feet to the right of this photograph. The 
boulder till interbedded with the lavas indicates a stage of glaciation which was terminated by voleanie 
eruption. 


Smithsonian Report, 1935.—Atwood PLATE 4 


1. GLACIAL STRIAE ON THE LAVAS JUST NORTH OF THE DEVILS BACKBONE. 


The surface is highly polished and, except where the rock has chipped, owing to weathering, the striae are 
very distinct. The ice moved ina N. 17° W. direction across this lava surface. 


2. A MUCH WEATHERED, GLACIALLY-GROOVED SURFACE A SHORT DISTANCE 
SOUTH OF THE NORTH ENTRANCE RANGER STATION. 


Although the age of the grooves is difficult to determine, they appear to be related to a stage of giaciation 
which ended with the return of voleanie action on the mountain. 


Smithsonian Report, 1935.—Atwood PEATE 5 


1. LLAO ROCK VIEWED FROM THE SOUTH. 
Beneath the massive dacite flow at a point marked A is an exposure of glacial till. At Ba similar deposit 
rests upon a striated surface. The contact between the lava and underlying till suggests that ice existed 
on the mountain during the first stages of the eruption which produced Llao Rock. 


2. THE MASSIVE LLAO FLOW WHICH DESCENDED UPON A GLACIAL LANDSCAPE 
FILLING THE U-SHAPED VALLEYS AND BURYING THE MORAINIC DEBRIS. 
The lower portion of the cliff which rises almost vertically from the water’s edge is composed of alternating 
layers of lava and volcanic ejectamenta recording the growth of the young Mount Mazama. 


Official photograph, U. S. Army Air Corps. 


3. CRATER LAKE VIEWED FROM THE NORTHWEST. 


At theleft is Mount Scott, the highest elevation in the park. On the far side of the rim is the U-shaped val- 
ley of Sand Creek, usually referred to as Kerr Notch. 


Smithsonian Report, 1935.—Atwood PLATE 6 


STRIAE 


1. A PORTION OF THE RIM SHOWING THE LARGE BLACK DIKE KNOWN AS THE 
DEVILS BACKBONE. 


The location of the oldest glacial record is indicated by the lower striae reading. The striae on the rim are 
those pictured in figure 1 of plate 4 and were produced by the last glaciers to descend the west slope of 
Mount Mazama. 


2. THE PALISADES AS SEEN FROM THE LAKE 


Beneath the talus material is a glacial till containing many well striated boulders. The bottom of the 
deposit is presumably below the level of the lake. 


CONCRETIONS—FREAKS IN STONE 


By R. S. BAssLER 
Head Curator of Geology, United States National Museum 


[With 3 plates] 


Among the thousands of geologic specimens received for examina- 
tion every year at the Smithsonian Institution, certain kinds occur 
very frequently. Among these are dark, heavy rocks mistaken for 
meteorites; pieces of clear rock crystal or quartz, believed to be 
diamonds; yellow iron pyrites, sulphide of iron, so often thought to 
be true gold as to merit its common name “ fool’s gold”; and sup- 
posed petrified animals which usually prove to be concretions, the 
subject of this paper. The last are probably the most mystifying, 
and it is diflicult—indeed sometimes impossible—to convince the 
amateur collector that they are not what they seem, but simply ag- 
gregations of mineral matter which, through their method of forma- 
tion, by chance assume the form of familiar objects. 

In the living world nature runs true to form in reproducing 
animal and plant species after their own kind, but in the inanimate 
kingdom she often turns playful and generates most bizarre-looking 
objects. For example, in the realm of rocks and minerals, geo- 
metric figures of amazing regularity, specimens resembling living 
forms, and fantastic objects never seen elsewhere are found among 
these special rock formations, concretions, some of which are so un- 
usual that they might truly be called “sports of nature.” Many 
concretions assume such grotesque and marvelous shapes that it is 
no wonder they excite popular curiosity, and in some countries are 
believed to be of supernatural origin or are called fairy stones, and 
sometimes are even used as charms. 

Stones, unendowed with life, do not grow like living things by 
inward accretion, but by external additions. Concretions are the 
stones that best show this method of growth, for they increase in 
size, layer by layer over their surfaces, finally forming variously 
and often very curiously shaped masses of firmly cemented mineral 
matter. They are found embedded sometimes in porous but often 
in very impervious rocks, or weathered out at the surface. Their 


321 


322 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


frequent occurrence and the interest they occasion bring them more 
attention than is warranted from the standpoint of the geologist, 
for to him they have little importance and rarely are rich enough 
in ore or mineral content to be of economic value. In general, con- 
cretions are more or less rounded or discoidal masses of solid ma- 
terial accumulated by condensation or segregation of similar mineral 
substances. They are sometimes rootlike or cylindrical in shape, or 
they may even resemble great logs of stone. In geology the term 
is usually restricted to the segregation in concentric layers of cal- 
careous, siliceous, or clayey matter around some nucleus—a leaf, a 
shell, or a grain of sand—until there results a spherical or rounded, 
flattened mass, which may vary in size from a pin head to great 
balls of rock 10 feet or more in diameter. Single concretions are 
usually spherical, but some become flattened or much curved. Some- 
times two or more concretions unite in the course of their growth, 
and again a new concretion may start on the surface of an older 
one, enlarging layer by layer. This latter type often results in the 
curious animal-like objects. These are easily understood if studied 
in connection with associated examples which show that simple 
rounded nodules with additional layers of growth developing about 
them grade into the more complicated specimens in which these 
extra layers have formed in rather symmetrically arranged lobes 
(pl. 1, figs. 1 to 5, 14). When extra layers are arranged more or 
less laterally, curious emblematic objects may result (pl. 1, figs. 11 
to 13). If a shell serves as a nucleus, its whorls may be so covered 
that a so-called “ fossil peanut” results (pl. 1, figs. 6 to 8). 

Although concretions can be formed by physical means, as, for 
example, the rounding and enlargement of mud balls, or by organic 
means, whereby layer after layer of lime is precipitated around some 
nucleus by the action of plant growth in streams rich in lime, the 
majority owe their origin to concentration through chemical action, 
either as precipitates formed while the enclosing rock is being de- 
posited, or as aggregates in the rock after deposition. Porous rock 
formations permitting the migration of mineral-bearing solutions 
allow the formation of concretions by the last method through cemen- 
tation, long after the deposition of the enclosing rock. Thus, most 
of the concretions so common in the glacial clays of the Northern 
States have resulted from the concentration of small amounts of 
calcium carbonate scattered throughout the clay, with circulating 
ground water acting as the transporting agency. 

Concretions containing well-preserved fossils were obviously 
formed at the same time as the enclosing rock, since otherwise the 
fossils would be at least partially destroyed. The fossils in such 
concretions are seldom flattened by the pressure of the overlying 


CONCRETIONS—BASSLER a2 


strata, while those in the surrounding strata may be crushed by this 
weight. For this reason solid concretions occurring in shaly beds, 
such as those in the Cretaceous shales of the Great Plains, yield 
excellent fossils. 

Certain concretions displace the rocks in which they are contained, 
indicating that they were formed after the deposition of the enclos- 
ing rock, pushing aside the rock in the course of their growth. 
Such curvature of the enclosing rock formation occurs most fre- 
quently in shales and is absent in sandstones, giving rise to another 
possible explanation, namely, that the shale beds may have settled 
around the concretion. Another method of formation is shown in 
the case of siliceous concretions exposed when limestone wears away. 
Here, it may be observed that as the limestone was dissolved by sur- 
face waters, the siliceous impurities segregated into nodules which 
were left at the surface or along water channels in the characteristic 
globular forms. 

Deep-sea dredging in the red clays of the ocean depths often brings 
up concretions in the form of nodules of manganese dioxide. Col- 
loidal silica, the gelatinous form, is, next to calcium carbonate, the 
most abundant of the soluble substances carried to the sea by the 
rivers. However, sea water contains but a very small percentage of 
silica, and therefore the large amount of gelatinous silica must have 
been deposited upon the ocean bottom. Here it assumes the nodular 
form by segregation, and concretions are the result. Such condi- 
tions of sedimentation occur over great stretches of sea bottom, so 
that today, as well as in the past, concretions occur usually in defi- 
nite beds that can be traced over many miles. Thus, they can be 
used for correlating strata of the same age over wide areas. 

Concretions are commonly composed of a single mineral, but 
frequently other substances occur as impurities. Calcium carbonate, 
silica, iron oxide, hydroxide, carbonate, or sulphide are the most 
common component materials. Clay stones and the calcareous con- 
cretions in shales and sandstones are composed largely of calcite, 
as are the concretions so abundant in the loess and the glacial clays 
widespread over the northern United States. To these latter forms 
the Germans have applied the name “ Loesspiippchen ”, or “ loess 
dolls” (pl. 1, fig. 4). Ironstone concretions are most common in 
sandstones and consist largely of quartz grains cemented by the 
oxide or hydroxide of iron. Such concretions may be collected in 
modern lakes and, indeed, are forming today in certain soils. Con- 
cretions of pyrite occur in dark shales containing organic matter, 
sometimes in sufficient abundance to constitute a source for this ore. 
Barite, or heavy spar, forms the beautiful concretions known as 


“ petrified roses ”, in sediments accumulated under arid conditions. 
36923—36——22 


324 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Sandstone produces the largest concretions, as, for example, the 
loglike structures from South Dakota reaching a length of a hun- 
dred feet, and on the Great Plains the many cannonball forms, up 
to 12 feet in diameter, which lend a characteristic aspect to the 
scenery and, indeed, give rise to local names such as the Cannon Ball 
River. 

Concretions are responsible for the curious structures known as 
“ Septaria ”, so named from the partitions (septa) traversing them. 
A clay concretion in the process of its formation will shrink as the 
mud dries and hardens, and fractures radiating from the center, 
often very regularly arranged, will ensue (pl. 1, figs. 9, 10). While 
the filling of such shrinkage cracks with mineral matter is un- 
doubtedly the cause of the septaria, the exact process is not under- 
stood. Probably a concretion with a colloidal or gelatinous clay 
center changes to a crystalline solid with accompanying contraction 
and cracking; or possibly the expulsion of water from the saturated 
central area produces the same result. The open spaces caused by 
these fractures are later usually filled with some mineral matter 
other than that forming the nodule (pl. 2, fig. 1). Should this be 
more insoluble than the material of the original concretion, it will 
stand out as ridged polygons when the nodule is subjected to 
weathering. Or, should the more soluble concretion be entirely dis- 
solved away, a curious framework of the mineral-filled fractures 
remains (pl. 2, fig. 2). Septaria are particularly interesting to 
the mineral collector, for the veins filling the fractures may yield 
crystals of a variety of minerals, ranging from the metallic sul- 
phides to the nonmetallics such as barite and selenite. Certain very 
abundant small bodies termed pisolites and oolites have a concre- 
tionary structure, but their origin is somewhat different. 

A third type of concretion closely resembling septaria externally 
presents a most artistic appearance because the surface is ornamented 
with large and small polygons arranged in a geometric design. Pos- 
sibly such concretions (pl. 3, figs. 1, 2) were, like septaria, formed 
by filling of shrinkage cracks, but they now show no evidence of such 
an origin, for the polygonal marking is apparent only at the sur- 
face. When the surface is smoothed by abrasion, only the solid 
dense mineral is visible. The excellent example of this type here 
figured came from some Cretaceous formation along the Cannon Ball 
River of North Dakota, and was presented to the Smithsonian Insti- 
tution by Percy Train. The exterior of this concretion is of limonite, 
iron hydroxide, but the interior, according to Mr. Train, consists of 
hematite radiating from a rounded water-worn boulder that served as 
a nucleus, which in one instance was one-third the size of the speci- 
men. Inspection of plate 3 will show that the upper surface of the 


CONCRETIONS—BASSLER 325 


entire sphere is divided into seven or more large polygonal areas, 
each of which is subdivided into about the same number of polygons 
containing a central region of minute polygons surrounded by a 
smooth area. This central region exhibits the same arrangement of 
polygonal areas as the entire sphere and perhaps further subdivisions 
were continued on a microscopic scale in the smallest polygons. Ad- 
ditional specimens of this type of concretion, if available for study, 
would undoubtedly show the various stages of growth and explain 
the origin of this interesting type. 

Concretions are of economic value as a source of minerals or ores 
as well as of well-preserved fossils. The calcareous concretions so 
abundant in the London clay of southeastern England have been 
much used in the making of cement. Similarly, clay ironstone 
nodules, termed sphaerosiderites, have been a prolific source of iron 
ore in various countries. As a source of well-preserved fossils these 
nodules are supreme, and the splitting open of concretions is a favor- 
ite sport of the geologist. Sometimes the concretion has formed 
about a considerable cluster of fossils, but more often only one of 
many nodules reveals recognizable remains of an animal or plant. 
Hence, the possibility of discovery of a fossilized complete fish 
(pl. 2), a spider, a crustacean, or a leaf (pl. 3) provides an element of 
chance that adds greatly to the interest of collecting. 

Many valleys of the northern United States where the glacial clays 
are so prevalent, such as that of the Hudson River, have afforded 
innumerable specimens, no one precisely like another. The bands 
of flint concretions lying parallel with the chalk strata in the chalk 
cliffs of England are so conspicuous that they are known to every 
traveler. The Tertiary sands and clay formations of our Great 
Plains, as noted before, comprise layers sometimes crowded with 
enormous spherical forms. Here, too, the concretions often are so 
abundant as to strengthen the loose sands and clays sufficiently to 
form a resistant bed which may stand up as a cliff along a stream. 
The Upper Paleozoic black shales of New York, Ontario, and Ohio 
often contain large interbedded concretions that have formed about 
dismembered bones and plates of gigantic fossil fishes described from 
these areas. Perhaps the most interesting locality of all to the pale- 
ontologist is along Mazon Creek in Grundy County, Ill., where 
animal and plant remains of many varied types serve as nuclei for the 
clay-ironstone nodules occurring in the Coal Measures. Fern leaves 
exquisitely preserved (pl. 8, fig. 3) and in a great variety of forms 
are the most abundant fossils here, but primitive cockroaches of 
gigantic size, very ancient horseshoe crabs (pl. 2, fig. 4), and even 
early forms of fish (pl. 2, fig. 3) sometimes reward and delight the 
lucky collector. 


326 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


DESCRIPTION OF PLATES 


(Illustrations slightly reduced in size) 
PLATE 1 


Figures 1-5. A series of clay lime concretions from the glacial clays of Scho- 
harie Creek, N. Y., and Barry’s Bay, Ontario, showing the evolution from 
the simple type to the loessptippchen (fig. 4) and the animal forms (fig. 5). 

Ficures 6-8. Petrified “ peanuts’? showing formation from fresh-water shells 
coated layer after layer with lime (6) until their original outlines are 
lost (8). 

Figures 9, 10. Mud concretion of present day origin from the Illinois bank 
of the Mississippi River. The fractured interior suggests the origin of 
septaria. 

Ficures 11-13. Clay lime concretions from glacial clays of Vermont exhibiting 
three phases in the formation of the emblematic forms. 

Fiaure 14. A specimen from Texas, supposed to represent a fossil turtle. 


PLATE 2 


Ficure 1. A clay lime septarium, % natural size, from the Devonian rocks of 
western New York, with the shrinkage cracks filled with crystalline cal- 
cium carbonate. The original polygons of large size are in process of 
subdivision into smaller areas by secondary shrinkage. 

Ficure 2. A siliceous pseudomorph resulting from the solution of a septarium ; 
about % natural size. Caleareous septa in the original septarium were 
replaced by silica which because of its little solubility in water was left 
behind when the substance of the nodule itself was dissolved away. From 
fuller’s earth deposit at Groveton, Ga. 

FicureE 3. A primitive ganoid fish forming the nucleus of a clay ironstone con- 
eretion from Mazon Creek, Ill. Slightly enlarged. 

Ficure 4. An ironstone nodule from Mazon Creek which when split in half 
exhibited a fossil horseshoe crab. 


PLATE 3 


Figures 1, 2. A concretion of iron hydroxide, slightly less than natural size, 
and a portion enlarged, showing the regular arrangement of the markings 
of the first, second, and third order. Cannon Ball River of North Dakota. 

Ficure 3. Ironstone concretion from Mazon Creek, Ill., split along the line of 
the seed fern frond which served as a nucleus. 


Smithsonian Report, 1935.—Bassler PLATE 


CONCRETIONS., 


(For description, see p. 326.) 


PEATE 2 


—Bassler 


Smithsonian Report, 1935. 


CONCRETIONS 


(For description, see p. 


26.) 


Q 
2) 


PEATE 3 


Smithsonian Report, 1935.—Bassler 


CONCRETIONS. 


scription, see p. 326.) 


(For de 


ia J 


BIOLOGY AND HUMAN TRENDS* 


By RayMonp PEARL 
The Johns Hopkins University 


I 


To discuss adequately in a brief address the assigned subject, 
Biology and the Social Consequences of Its Advances, is plainly a 
large order, and one beset with considerable difficulties. For on the 
one hand biology as a science is still largely in the descriptive and 
historical phase of its development, and sociology is even more so, 
with the consequence that an account of the significant achievements 
of these sciences cannot be expressed in the concise and rational short- 
hand that is so useful in physics; and, on the other hand, to appraise 
the theoretical consequences of scientific discoveries implies a certain 
skill in the dangerous art of prophecy. Not having any noteworthy 
aptitude as a prophet I can only put before you, in all modesty, the 
views of one biologist about some of the more evident relations be- 
tween certain well-established biological facts and principles and 
some of the more characteristic features of the collective behavior of 
mankind. While I cannot speak with officially sanctioned authority 
for more than one particular biologist, it does seem absolutely cer- 
tain that just in proportion as any of the sciences, including biology, 
succeed in their effort to establish sound general principles and laws, 
just in that proportion will their advances be inevitably reflected in 
collective human behavior. The thoughts and actions of all man- 
kind were permanently and irreversibly altered from what they 
were before, after the Origin of Species had been published in 1859. 
A corresponding alteration, more or less significant as the case may 
be, occurs whenever a real discovery in science is made or a sound 
generalization established. 


II 


In the great Symphony of Life there appear to be three, and only 
three, main, basic biological themes, out of which come all the pleas- 
ant or harsh, useful or harmful, simple or complex counter-melodies, 

1 Reprinted by permission from Journal of The Washington Academy of Sciences, vol. 25, 
no. 6, June 15, 1935. 

327 


328 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


harmonies, and dissonances of the business of living. These main 
basic themes are: 

First: The urge to individual personal ‘survival here and now. 
This appears to be an attribute of all living matter. 

Second: The urge to reproduction which again appears to be a 
property of all that lives. 

Third: Variability, once more common to all living matter, in 
both its genetic and somatic aspects, the one leading to the observed 
differences or variations between individual organisms, the other 
embodying the differences in the same individual at different times 
in its life. 

Finally, it is to be remembered that it is impossible to discuss or 
even to imagine life or living things without taking into account the 
rest of the universe in which they exist. So then we must add to our 
material for discussion one more item that corresponds roughly to 
the fiddles, flutes, horns, printed music, desks, and other impedi- 
menta not musical per se but without which a symphony would 
never reach the ears. This item is: 

Fourth: The environment that conditions and in some degree 
determines all vital phenomena. 

Let us now examine each of these four items in some detail. 

The urge to survival? may fairly be regarded as the most funda- 
mental attribute of living things and is therefore placed first in the 
list. It may be well to point out at the start that in its essence this 
urge to survival is rather completely and uncompromisingly selfish. 
To the best of its ability the individual organism so conducts its 
affairs as to continue living just as long as possible, regardless of 
what other organisms may do or think about it. When extinction 
threatens every resource is brought to bear to fend it off. Basically 
this is what underlies the struggle for existence. Out of it, associ- 
ated with it, and because of it come great ranges of biological 
phenomena that we have, for combined reasons of convenience and 
pedantry, departmentalized: such as food getting, metabolism, and 
nutrition, cellular and humoral defense mechanisms furnishing im- 
munity and resistance to disease, protective shelter seeking and 
building, natural selection, and in good part evolution itself. 

Asa matter of observed fact this survival urge is primal and deeply 
rooted. Whenever and wherever we see its fundamental selfishness 
apparently in abeyance or even much abated, and seemingly replaced 

2There are curious aspects to this universal urge to individual survival. One of them 
is the biological uselessness of much of it. It would be extremely difficult, if not impos- 
sible, to find any rational biological purpose served by the survival of the individual after 
it has reproduced itself. Yet in not a few organisms, including man, there is normally a 
considerable part of the life span lived after adequate reproduction has been accomplished. 


Living grandparents, great-grandparents, and celibate clergymen are among Nature’s 
gaudier examples of Thorstein Veblen’s “‘ conspicuous waste ’”’ in the realm of pure biology. 


BIOLOGY AND HUMAN TRENDS—PEARL 329 


by altruism or “ mutual aid ” as it has been called, we may be sure, I 
think, that one or the other of two things has happened. Either, as 
among the invertebrates (especially the social insects) and the lower 
vertebrates, the “ mutual aid ” is not individually motivated but is a 
mechanistic group consequence of caste differentiation and integra- 
tion, with no more (and no less) of an altruistic element in it than 
there is in the cellular differentiation and integration in the em- 
bryonic development of the individual; or, as in man and to some 
extent among his nearest relatives, complex psychological elements 
have been added to the picture in the course of evolution, which may 
seem at times to overwhelm and obliterate the more primitive and 
deeply rooted biological urge. The most obvious of these added 
factors amounts really to a more enlightened self-interest—that is 
to say, a belief that for the present and until times get much worse 
it will be likely to conduce more effectively to individual survival to 
play along with and help one’s neighbors in the crowd. 

This statement is, from the necessity of brevity, much too bald and 
apparently dogmatic in its form and wants more explanatory eluci- 
dation and development than we shall have time to give it. But I 
think it essentially conforms to at least a part of the reality. It is 
reasonable to suppose that the individual soldier ant is unaware of 
the fact that its activities and efforts are of benefit to the social 
group (the colony) to which it belongs. On the contrary, it seems 
likely that. when it fights it does so because it is its inherent and 
entailed nature so to do. In fighting it is expressing its own will 
to live or urge to survival, and in the only way of which it is capable. 
On the human side, in thinking of the personal motivation of altru- 
istic behavior I am always reminded of a speech of Brotteaux in 
Les Dieux ont Soif, perhaps the greatest novel Anatole France 
ever wrote. It is (I quote from Allinson’s translation) : 

What I am doing now, the merit of which you exaggerate, is not done for 
any love of you, for indeed, albeit you are a lovable man, * * *, I know you 
too little to love you. Nor yet do I act so for love of humanity; for I am not 
so simple as to think * * * that humanity has rights. * * * JI do it 
out of that selfishness which inspires mankind to perform all their deeds of 
generosity and self-sacrifice, by making them recognize themselves in all who 
are unfortunate, by disposing them to commiserate their own calamities in the 
calamities of others and by inciting them to offer help to a mortal resembling 
themselves in nature and destiny, so that they think they are suceoring 
themselves in succoring him. 

Man’s behavior, and particularly his social behavior, is motivated 
by so complex a set of physiological and psychological facia, appe- 
tites, emotions, and reasons, as to be extremely difficult to eigencani ele 
in a sole instance. But it may safely be said that when- 
ever he curbs his primal urge to personal survival, he does it for 


330 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


secondary reasons superimposed upon his natural, protoplasmic 
will-to-live. Many of these reasons are, collectively, what we call 
social. They represent purposeful adaptations in what Wheeler has 
convincingly argued is the next emergent level above the individual 
organismal. In most human beings these secondary social adapta- 
tions of behavior are still somewhat incomplete and imperfect, as 
clearly appears in times of great stress or danger. And the extent 
to which the highest forms of human altruistic social adaptations 
have real and enduring survival value, has yet to be measured. It 
can be argued with some plausibility that why they give the ap- 
pearance of having some survival value, or at least of not being 
positively harmful, is because they became even moderately wide- 
spread only during that recent portion of human history in which 
living has been relatively easy for all mankind. It has been rel- 
atively easy for two reasons: Low density of population, in general ; 
and rapidly increasing knowledge of applied science with its accom- 
panying industrial developments. In a world where getting a living 
was easy, altruistic social relations were correspondingly easy. In- 
stances, and localities of a real struggle for existence between in- 
dividual men (other than during large-caliber wars or in the 
processes incident to the assumption of the “ white man’s burden ”) 
have been rare in this world since the beginning of the nineteenth 
century. And few have ever seriously alleged that war is an al- 
truistic enterprise; nor is it at all uncertain that the pleasures of 
“ civilizing ” backward peoples are, like those of condescension, sin- 
gularly one-sided. 

The urge to reproduce is second in power, if at all, only to that 
for survival. This basic attribute of living material, like the other, 
includes in its scope great ranges of academically labeled and pigeon- 
holed biological phenomena—of which among the more important 
are perhaps population growth with its part in the struggle for 
existence and natural selection; and heredity with its concomitants 
of development and growth. For heredity is most clearly to be 
apprehended as an aspect of reproduction. Living things do not 
merely reproduce; they reproduce themselves 'This fact makes it 
clear that, philosophically viewed, the urge to reproduction is really 
a part—an extension if you like—of the primal urge to survival. 
If the individual cannot ensure his own indefinite earthly immor- 
tality he can and does try his very best to see that his stirp shall 
keep on living forever and ever. Naturally this self-reproductive 
process tends toward social as well as biological stability. 

Genes are almost incredibly stable and resistant to alteration in 
the natural and usual circumstances of life. For something over 15 
years there has been going on in my laboratory a continuous experi- 


BIOLOGY AND HUMAN TRENDS—PEARL 331 


ment designed to test this point in a simple and direct way. To- 
night I make the first public statement about it. This experiment 
has now included over 300 successive generations—perhaps the long- 
est bit of controlled breeding ever carried out, with the results in 
each successive generation carefully observed and precisely recorded. 
Allowing 30 years as a round figure for the average duration of a 
human generation the time equivalent in human reproduction of this 
experiment would be of the order of 9,000 years—considerably longer 
than the total span of man’s even dimly recorded history. The ob- 
jective of this experiment with Drosophila has been to see whether 
a simple Mendelian ratio involving but one character would or could 
be altered in the passage of time by such natural forces as selection, 
different systems of breeding (such, for example, as that called 
“orading up” by livestock breeders), and wide alterations of the 
environment nearly up to the limits of the organism’s ability to go on 
living at all. The plan of the experiment is a simple one. It started 
by crossing a normal fruit fly (Drosophila melanogaster) possessing 
the normal wings characteristic of the species, with the pure mutant 
form Vestigial, so-called because the wings are reduced to nonfunc- 
tional vestiges. This wing characteristic is associated with a single 
gene. In the next generation all the flies produced by the pair with 
which we started had normal standard wings, normal being domi- 
nant to vestigial. These flies of the first cross-bred generation were 
then mated to pure vestigials (back-crossed to the recessive parent, 
in technical genetic language) to produce the second cross-bred 
generation. Of the offspring of these matings approximately one- 
half had normal wings, because they carried the original normal 
wing gene, and the other half had vestigial wings, all this being in 
accord with regular Mendelian expectation. The vestigial-winged 
flies of this and all later generations were killed and thrown away 
as soon as they had emerged and been counted. The normal winged 
flies were again mated to pure vestigials to produce the next genera- 
tion. And so on with undeviating regularity for more than 300 
generations. What the plan means in briefest terms is that since the 
rather stupendously long time (measured in generations) when the 
experiment began the only hereditary determiner (gene) for normal 
wings that has ever been in the system is the one that was con- 
tributed by the one single normal wild type fly with which we started. 
All the normal winged flies now appearing in the populations of the 
successive generations of the experiment have normal wings only 
because their Urgrossvater had them 300 generations ago, and for 
no other reason. 

The net result of the experiment has been to show that the gene 
involved has preserved its initial characteristics unaltered. So also 


3a2 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


has the cellular mechanism for the shuffling and sorting of the genes 
in each generation. The approximately 50-50 ratio of normal 
winged to vestigial winged flies appears generation after generation 
with somewhat wearisome regularity. The demonstration of the 
inherent stability of the genic mechanism of heredity that this ex- 
periment has given is extremely impressive. 

Analogous phenomena of organic stability are observed in nature. 
There are considerable numbers of firmly established instances of 
organisms living today that are specifically identical with their pro- 
genitors in earlier geological eras. Among the Foraminifera 1 spe- 
cies (Lagena sulcata) has persisted unchanged from Silurian times 
down to the present; 1 species (Globigerina bulloides) from the 
Devonian to the present; 2 species from the Carboniferous; 2 from 
the Permian; 4 from the Triassic; 7 from the Jurassic; and 15 from 
the Cretaceous. The significance of these cases cannot be overem- 
phasized. When it is comprehended that organisms now living have 
not changed by a perceptible amount from what they were millions 
upon millions of years ago in Paleozoic times in those minutiae of 
structure upon which systematists base their specific distinctions 
and descriptions, the conservatism and stability of nature begin to 
be realized. 

In human biology the conservative and stable element of true 
biological heredity is supplemented and reinforced by what has been 
variously called “ social heredity ”, or tradition, or the mores of the 
group to which the individual and his stirp belong. This is, of 
course, not inheritance at all in a proper biological sense. It is 
rather an environmental matter at bottom. A born Englishman 
transported to America as a child may, and in fact usually does, 
come as a man to think and act like an American. But to make him 
do this if he lives his whole life in England among the people of 
his kind would be virtually impossible. And it is a matter of sta- 
tistical fact that vastly more human beings live out their lives not 
far from where they were born. and among their kind of people 
than migrate or are transplanted into realms of other traditions and 
mores. In consequence “social inheritance” or tradition plays an 
enormous but usually underestimated part in determining the indi- 
vidual and collective behavior of human beings. Its effects have 
not infrequently been confused with those of true biological heredity. 
Masses of data. have been collected to show that near relatives, par- 
ticularly fathers and sons, frequently follow the same professions 
or callings. It is often quite erroneously concluded that such facts 
prove a biological inheritance of talent or ability, either in general, 
or for a particular calling, or both. Such data are inherently in- 
capable of proving any such a conclusion. The observations can be 


BIOLOGY AND HUMAN TRENDS—PEARL 333 


much more simply and satisfactorily accounted for in the main by 
the operation of the purely environmental factors of familiar con- 
tact from childhood, training, easy opportunity of entrance, and 
the social pressure of tradition; in short, by “social ”, not biological, 
inheritance. 

Our third unique and universal biological principle, variability, 
has two aspects, as has already been pointed out. No two living 
organisms are exactly like each other in all particulars, and no single 
organism is precisely the same at any two moments in its lifetime. 
The first of these aspects is the only one that is conventionally called 
variability. It is mainly caused by the combined interaction of 
genetic shufflings and recombinations and the environment. The 
second aspect of organic variability is usually and conveniently 
called adaptability. It isan odd and remarkable phenomenon. The 
unique thing is not that organisms are more or less fitted or adapted 
to the circumstances in which they find themselves. Inanimate ob- 
jects of various sorts, and particularly that category of them that we 
call machines, are this. It is true that the adaptations of organisms 
and machines are brought about in different ways. But the fact of 
adaptation is present, and in principle identical, in both. We are, 
however, not concerned here with adaptation, but with self-started 
and self-controlled adaptability, which organisms have and machines 
do not. Organisms incessantly change and alter themselves to meet 
the fleeting changes in their circumstances. No living organism ever 
stays put. When it does it is dead, and in dying has passed into a 
wholly different category of matter. 

The process goes even deeper than change and adaptability in be- 
havior. ‘The very material substance itself that makes up the living 
organism is constantly changing. What, then, does “ personal iden- 
tity ” connote? What we are pleased to call the same identical man 
at the age of 70 years is composed of extremely little, if any, of the 
same material substance that made him up when he was 20 years old. 
Probably there is not a single molecule in him at 70 that was there at 
20. In the intervening years the only thing about him that has sur- 
vived is his pattern, a sort of transcendental or spiritual wraith 
through which has flowed a steady stream of matter and energy. 
There is a profound truth embodied in Cuvier’s old comparison of a 
living organism to a whirlpool. It is the pattern that is the essence 
of the business. It alone endures. And it is constantly altering and 
adapting itself to changing circumstances. Especially is this true 
and important of the psychological panel of the total pattern of the 
human organism. It is this aspect of adaptability, the capacity of 
organisms for change ending only with death, that seems to be more 
important in its social consequences than its teleological aspect, if 


334 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


indeed we are prepared to admit the reality of the latter at all, as 
some are not. 

We may conclude this hasty, survey of basic principles with a word 
or two about the environment. The effective environment of any 
particular living organism is determined by the pattern of that or- 
ganism, just as truly as the pattern of the organism is in part at least 
determined by the environment. For a particular man, and for a 
group of similar men, but not for any mouse, the relative honesty of 
his banker and the urbanity of his dean are highly important ele- 
ments in the effective environment. And what makes them so is not 
the bankishness of the banker nor the deanishness of the dean, but 
the pattern of the particular man of whom we are speaking—a pat- 
tern not shared by the mouse. In short the relation between organ- 
ism and environment is everywhere and always mutually reciprocal 
and as man is the most complicated and manifoldly diverse in his 
capabilities of all organisms, so also is his effective environment the 
most complicated. 

More extensively and more effectively than any other organism he 
makes his own environment. He is constantly altering it in the hope 
of making it better. But such is the interplay of the contradictory 
biological elements in his nature that he dislikes and resists any alter- 
ation of his environment by anyone else than himself or the group 
of people similar to himself to which he belongs. The social and 
political consequences of these opposing attitudes are far-reaching 
and encompass within their range the greater part of our communal 
troubles in this imperfect world. 

The full implications of the reciprocally determinative influences 
of organism and environment seem to me to have been generally 
somewhat less than adequately valued in the last century’s develop- 
ment of biological thought, and certainly an extremely inadequate 
amount of first-rate research has been put upon the matter. This is 
partly an obvious consequence of the trend given to biological phi- 
losophy by Darwin, Galton, Weismann, and Mendel, with their em- 
phasis upon the entailed or endowed element in the whole biological 
picture. In human biology particularly the role played by heredity 
has come to take on many of the aspects of religious dogma. In- 
deed it has been urged that eugenics should be overtly espoused and 
developed as a religion. And all this has been going on in a world 
where consciously planned and directed alterations of environmental 
conditions have had far-reaching and profound biological effects 
upon whole populations, not alone in the field of public health but in 
many others. Every geneticist knows that the final expression in 
the individual of each hereditary determiner is conditioned by the 
environmental circumstances under which its development is under- 


é 
BIOLOGY AND HUMAN TRENDS—PEARL 335 


gone. Yet very little has been done in the way of attempting to 
analyze thoroughly and penetratingly the biological effects of en- 
vironmental conditions upon human beings. 

In truth science, perhaps in common with all other modes of hu- 
man thought, has a seemingly ineradicable tendency to crystallize its 
temporarily successful philosophies into dogma, and having accom- 
plished the crystallization proceeds to the scourging of whatever 
skeptics and heretics may appear. Public-health workers sometimes 
display a religious attitude toward their achievements as intense as 
the crusading zeal of the eugenists for their dogmas. Only a few 
hardy souls throughout history and at the present time seem able to 
realize for longer than brief periods that new knowledge is more 
often than in any other way engendered out of skepticism by hard 
work, and that religious attitudes and modes of thought for however 
noble a purpose enlisted not only have nothing whatsoever to do with 
science, but are the most effective hindrances to getting new knowl- 
edge yet heard of. 

III 


Let us now turn to the examination of some of the more conspicu- 
ous and far-reaching social consequences of the basic biological prin- 
ciples we have briefly reviewed. The three most obvious and 
important ones are, I think, that: 

1. Man is enjoying better health and individually surviving longer 
than ever before, likes it, and intends to go farther along the same 
road. 

2. He is vaguely conscious of being more crowded than ever before, 
and finds the various consequences of this crowding increasingly 
unpleasant, but chiefly because it threatens that enhanced survival 
that is always his first and deepest biological concern. 

3. Therefore he is groping about to find ways to alleviate the pro- 
gressive overcrowding and preserve the health and survival gains 
he has made; trying a great variety of experiments, some of which 
are sensible, others highly dubious, and a few completely idiotic. 

For the sake of clarity these three statements need a little ex- 
pansion. The urge to survival is the ultimate biological motivating 
factor that has transferred the maintenance and improvement of 
health from an individual to a social concern. The gains in this 
field have been enormous. How enormous perhaps only a statistician 
can appreciate. This is not the place, nor is there any need, to go 
into the question of how they have been achieved. But the interest- 
ing thing about the case, broadly viewed, is that without the abate- 
ment by a single bit of that basic individual selfishness in which 
the biological urge for survival is rooted, it has been perceived that 


336 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


this urge can be most effectively served so far as health is con- 
cerned by making a social matter of a great part of it. Assuring 
a pure water supply and innocuously disposing of the waste matters 
of living are things that the individual simply cannot do well. 
Society can. And the social progression of the urge to survival 
in the field of health is by no means at an end yet. In two directions 
we may confidently look forward to great further changes and ad- 
vances in the rather immediate future. In the first place, whether 
we or the physicians like it or not, it seems clear that the main- 
tenance and improvement of individual health is going to become 
more and more completely a social matter. The basic reasons are 
two-fold, partly because of the continued normal evolutionary further 
growth of the same ideas and considerations that have brought us 
to where we are now regarding public health; partly because of 
economic and political considerations. The number of persons who 
at the present time get inadequate medical care because they cannot 
individually afford to pay for adequate (and lacking it endanger 
other peoples’ health) is so large that as a group they are already 
in a position politically to demand and get necessary medical service, 
and may reasonably be counted upon shortly to do so. In the second 
place it seems reasonable to suppose that advances in medical science 
are going to continue. The last 75 years—an excessively small 
fraction of mankind’s earthly history—have witnessed more progress 
in knowledge of disease and its effective treatment and prevention, 
than was made in all the time that went before. And objectively 
viewed the rate of advance in medical discovery seems plainly to be 
accelerating rather than slowing. 

Turning now to the consideration of the social consequences of 
the urge to reproduce, it is immediately to be noted that the growing 
consciousness of overcrowding—too many people in the world for 
comfort—is not the resultant of such simple matters as lack of space 
in which to build dwellings or to move about, or of inability to 
produce food enough to satisfy the collective hunger. It is true 
that the total number of living human beings on the globe at this 
moment is probably something closely approaching 2 billion. But 
the gross land area of the globe is about 35 billion acres, so that on an 
equal parceling each individual man, woman, and child would have 
between 16 and 17 acres. If the total population of the earth were 
to be forcibly put upon the smallest of the continents—Australia— 
there would still be, on an equal division, well over an acre for each 
individual. Similarly relative to food whatever trouble there is 
relates to distribution rather than production. Such famines as occur 
now happen not because there is not enough food produced to feed 
everyone, but because the complex economic mechanism of getting it 
to the hungry works imperfectly. 


BIOLOGY AND HUMAN TRENDS—PEARL 337 


The social consequences of population growth present a much 
more subtle and complicated problem than mere space or food. The 
suggestion just made that the total land area of the globe might 
be equally divided per head of population is an obviously fantastic 
one, with only a sterile arithmetic meaning. Not all the land is 
equally useful for sustaining human life either directly or indirectly. 
Some of it is of no use whatever. And this brings us to the crux 
of the population problem, which is that each unit of the popula- 
tion must; somehow or other get its living. All other forms of life 
except man get their living by one or the other or a combination of 
two direct ways: These are (1) by preying upon other living things, 
plant or animal; or (2) directly converting inorganic materials into 
living substance. Man today gets his living by indirect processes 
conveniently labeled economic. He is in the main employed in 
doing things that he can trade with somebody else for the biological 
requisites for living. The population of the world has now become 
so large, and the discoveries and applications of science have made 
the producing of the things that can be traded so much easier than 
it used to be, that great numbers of people all over the world find 
themselves unable to get a living by this process that was formerly 
so relatively simple. The rapid development of the industrial type 
of civilization in the nineteenth century made the gloomy prophecies 
of Malthus at its beginning look silly. The population grew at a 
tremendous pace when he thought its growth would be checked by 
want and misery. And people were having, by and large, a grand 
time while their number was increasing; because they were experi- 
encing the enormous improvements in the physical comforts of liv- 
ing that came with the advance and applications of science. But 
these very factors, plus the enhanced survival rate coincident with 
the development of public health, cause the ugly spectre of unem- 
ployment to rear itself higher and higher until it has now become 
the most serious problem that humanity faces. 

It is to be noted at this point that in modern civilization, as a 
normal consequence of the relation, of individual man’s biology to 
his age, approximately 50 percent. of all human beings have to earn 
the livings not only of themselves but also the major part of that 
of the other 50 percent. Man develops slowly. Children are in- 
capable of earning their own livings before they are about 15 years 
old, and have passed approximately a sixth of their total life span, 
and between a third and a fourth of their average life duration. At 
the other end of life, for the great majority of human beings over 
50 years of age their living must come in whole or in considerable 
part either from the efforts of the active workers between 15 and 
50, or from what they themselves were able to save while they were 
in their productively efficient ages. In practically all countries the 


338 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


sum of the numbers of persons under 15 and of those over 50, is 
almost exactly equal to the number of those between 15 and 50 years 
of age. But over and above this burden, that may fairly be called 
a normal biological one, the world’s workers are now called upon to 
support the unemployed. A considerable part of the unemployed 
are so because they are unemployable—not sufficiently fit and able 
in a biological sense to make an honest living in a world organized 
as this one is. These unfit organisms are kept alive by the rest of 
society for no realistically demonstrable reason other than that they 
were once born, and by being born somehow placed upon the rest 
of mankind what has gradually come to be regarded as a perma- 
nently binding obligation to see that they do not die. The remainder 
of the unemployed are so because there are too many fit, able, and 
employable people in the world to do the necessary world’s work, 
the aggregate amount of which has been, is being, and will continue 
to be steadily reduced by discoveries and improvements in the 
sciences and arts, 

Mankind is trying in several ways to meet this situation. The 
first and in the long run perhaps the most important way is by 
reducing its reproductive rate through the practice of contracep- 
tion—birth control. It has been seriously alleged and with at least 
some justification, that even the admittedly imperfect techniques of 
contraception as they are now known constitute the most important 
biological discovery ever made. While historians of the subject 
attempt to show that the practice of contraception is almost if not 
quite as ancient as man’s recorded history, actually the birth rates 
of large population aggregates did not begin to be sensibly affected 
by it until roughly the last quarter of the nineteenth century; that 
is to say, since the beginning of the rapid development of the highly 
organized, integrated, and urbanized industrial type of civilization. 
At the present time the effects of contraception on the birth rate 
are plainly apparent over large and leading parts of the world’s 
population, and are growing at a rather rapid rate. 

The practice of birth control is a thoroughly sound, sensible, and 
in the long run effective method of meeting the problem consequent 
upon the biological urge to reproduction operating in a universe of 
definitely limited size. The only objection of importance that can be 
urged against it is that it has led to an unfavorable differential fer- 
tility. The socially and economically more fortunate classes of man- 
kind have practiced contraception more regularly, frequently, and 
effectively than the less fortunate social and economic classes, with 
consequently reduced reproductive rates. It is contended that this 
has brought about a steady deterioration and degeneration of man 
as a species and will continue to do so until all progress is stopped. 


BIOLOGY AND HUMAN TRENDS—PEARL 339 


After prolonged study of the matter it is my opinion that the alleged 
detrimental consequences of this class differential fertility upon the 
aggregate biological and social fitness and worth of mankind, while 
doubtless present in some degree, have probably been greatly exag- 
gerated in the reformer’s zeal to make his case. This is not the place, 
nor is there time, to state and document all the reasons that have led 
me to this view. But there are certain considerations that must be 
mentioned because they have been so consistently overlooked or 
suppressed. The first is the tacit assumption that hes at the very 
root of the argument. This assumption is that, generally speaking 
and with negligible exceptions, the most fortunate social and eco- 
nomic classes are in that position because they are mainly composed 
of genetically superior people. But it may be alleged with at least 
equal truth that these very people who are regarded as mentally, 
morally, and physically superior are that way (insofar as they are 
so in fact) in no small part only because they and their forebears 
have been fortunate socially and economically. The analogy often 
drawn between human breeding and livestock breeding is in part 
specious and misleading. In animal breeding it has been learned 
that the only reliable measure of genetic superiority is the progeny 
test—the test of quality of the offspring actually produced. Breed- 
ing in the light of this test may, and often does, lead to the rapid, 
sure, and permanent improvement of a strain of livestock. But 
when the results of human breeding are interpreted in the light of 
the clear principles of the progeny test the eugenic case does not fare 
so well. In absolute numbers the vast majority of the most superior 
people in the world’s history have in fact been produced by mediocre 
or inferior forebears; and furthermore the admittedly most superior 
folk have in the main been singularly unfortunate in their progeny, 
again in absolute numbers. No one would question the desirability 
of the free multiplication of people who are really superior geneti- 
cally. But in human society as it exists under present conditions of 
civilization many a gaudy and imposing phenotype masks a very 
mediocre or worse genotype. And most eugenic selection of human 
beings is, and in the nature of the case must be, based solely upon 
phenotypic manifestations. 

Naturally it is to be understood that what has been said does not 
refer to the problem of the really biologically defective and degener- 
ate members of society. There the eugenic position is sound and 
admirable in principle. The breeding of such people must be 
stopped; and by compulsory measures. Voluntary birth control will 
not help appreciably to the solution of the problem, for the persons 
concerned are not of a sort to make effective use of contraception. 
If all the contraceptive techniques in the world were made fully 

369233623 


340 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


available to them, they would still go on breeding. There are but 
three ways, all somewhat imperfect, of dealing with them; they 
must be segregated, or sterilized, or denied any aid in the struggle for 
existence and thus allowed and encouraged to perish because too unfit 
biologically to make livings for themselves with their own unaided 
resources. 

One final point and I shall have done with this phase of our sub- 
ject. It is a curious fact that at every stage of man’s history from 
at least the time of Plato, and indeed of Theognis of Megara, a, 
century before, there have been those who have been just as certain 
as some present-day eugenists are, and just as deeply grieved, that 
mankind was going rapidly to the dogs because the right kind of 
people were not breeding enough and the wrong kind of people were 
breeding too much. Perhaps men are nearer the dogs now than they 
were in the Alexandrian age; but I venture to doubt it. The evi- 
dence seems to me overwhelming that mankind is, on an average, 
mentally, morally, and physically much superior today to what it 
was when Socrates was abated as a public nuisance. 

So much for birth control and the eugenic objections to its alleged 
consequences. We turn now to the most ineffective, cruel, and alto- 
gether foolish large-scale method by which society tries periodically 
to ameliorate the consequences of the biological urge to reproduction, 
namely war. If this characterization is reasonably in accord with 
reality, why do we go on having wars? The reason has been stated 
with precision by a clear-thinking human biologist, C. C. Walker, in 
the following words: 

The natural striving after security by one people, that is to say, its natural 
endeavors to exist must affect the security of other peoples. Because when a 
people endeavors to ensure its existence, by reason of its automatic reactions to 
the problems connected with food supply, security, and social stability, its 
endeavors will conflict with the strivings of other peoples who are also subject 
to the same environmental problems. Each people is only trying to exist. 
When a people considers that its existence is threatened by a particular en- 
vironment, * * * to such an extent that no adaptation to the environment 
will suffice, it is forced to attempt to alter that environment. But other people 
may consider that any alteration of that environment affects its own existence. 
The result is war. 

Is there any reason to suppose that this biologically natural process, 
with its characteristic of almost rhythmic recurrence, will ever come 
to an end? It seems to me there can be such a hope only in the long 
—very, very long—run. And the only reason I can see for even this 
deferred hope is the already great and rapidly increasing ease, speed, 
and cheapness of transportation and communication between all parts 
of the world. The slow but steady and sure biological effect of easy 
getting about will inevitably be more and more interbreeding, with 
a gradual lessening of the racial and national differences between 


BIOLOGY AND HUMAN TRENDS—PEARL 341 


human beings. In the far-off end all mankind will presumably be a 
rather uniform lot; all looking, thinking, and acting pretty much the 
same way, like sheep. National or racial isolation has even now be- 
come extremely difficult to maintain; indeed in a quite literal sense 
the attempt to maintain such isolations already threatens group sur- 
vival in not a few instances. In the long run they cannot and will 
not be maintained. Just in proportion as they diminish so will the 
frequency of wars diminish. But the diminution seems likely to be 
at a fearfully slow rate; it will be a long time yet before the last war 
is fought. And a low cynic might suggest that even war, horrid and 
stupid as it is, would be preferable to that deadly uniformity among 
men toward which we are slowly but surely breeding our way. 
Society here and abroad is just now experimenting with a whole 
series of internal readjustments that are being forcibly imposed upon 
temporarily dazed but always adaptable populations, in the hope 
that out of them will come a real and permanent solution of the 
problem that man’s urge to reproduction has saddled upon us. All 
of these experiments appear to fall into a few simple categories when 
realistically examined. They all stem from and put into practice 
one or the other of two ideas, neither of which finds unqualified sup- 
port in the science of biology. The first of these ideas is that it is 
best to let one individual in a group run the group’s affairs; perma- 
nently, absolutely and without interference, on the philosophy that 
averaged opinion and averaged action are as stupid, inefficient, and 
unreal as an averaged egg is innutritious and unreal. The other and 
opposite idea is that it is best to have the whole group run the busi- 
ness as a whole, allowing no individual any powers except as a merely 
mechanical executor of the group’s will, on the philosophy that no 
individual is really superior to another and that therefore in averaged 
opinion and action wisdom alone resides. In their practical im- 
plementation, performance, and effects both ideas turn out to be 
singularly alike. Both alike scorn the intermediate idea of true 
democracy. And finally both attempt to solve the problem that is 
pestering the world by a simple procedure universally regarded as 
criminal when practiced by an individual. It is that the more abund- 
ant life is to be assured to a too abundant people by stealing goods 
from the prudent and efficient, and then giving them to the impru- 
dent and inefficient. Since there are always a great many more of 
the latter kind of people than of the former this turns out tempora- 
rily to be the most effective political device ever heard of. Whether it 
will prove to be so permanently is less certain. It has been pointed 
out earlier in this paper that adaptable as man is there are neverthe- 
less elements of conservative stability in his biological make-up whose 
roots go back to the very beginning of his evolution. And in that 


342 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


perfect state of society envisaged by our major prophets, where “econ- 
omy of plenty ” will assure, as we are told, that no one will have to 
work much for a living, and where the higher philosophy that holds 
“human rights above property rights” (without perhaps clearly 
understanding what it means by either) assures that in any event 
everybody shall be kept alive at public expense whether he works or 
not, is there not the barest possibility that there might appear a 
somewhat general inclination on the part of the more intelligent 
members of the group to opt for the philosophy rather than for the 
communal work (however slight in amount)? If anything like this 
should happen might not the economy of plenty some day find itself 
once again in a parlous state of unplenty? Not being myself a de- 
pendable prophet I venture no answer. But in any case, and re- 
gardless of details, it is difficult to convince a biologist that a social 
philosophy will endure for any great length of time that deliberately 
and complacently loads upon the always weary backs of the able and 
fit an evergrowing burden. If there is one thing certain in the 
science of biology it is that no species or variety of plant or animal 
has long survived that was intrinsically incapable of making its own 
living. There is somewhere a biological limit to altruism, even for 
man. A large part of the world today gives the impression that it 
is determined to find the exact locus of that limit as speedily as 
possible, 


IV 


Up to this point the discussion has been of the social consequences 
of firmly established biological principles. In what regions of bi- 
ology may there be expected with some confidence developments new 
in principle, and with important implications for human behavior, 
thought, and social relations? Probably not, one is fairly safe in 
saying, in such fields as morphology, embryology, or taxonomy. The 
advances in the field of genetics, which has to a considerable degree 
dominated biological thought during nearly a half century and will 
probably continue to for some time yet, will inevitably have an in- 
creasing influence on human affairs as the meaning of its advances 
is better understood. But this influence seems on the whole likely 
to be more of a negative than positive character—a matter of avoid- 
ances, taboos, and prohibitions rather than of positive contributions 
to human biological progress. Heredity represents the entailed side 
of biology—things given—about which it is extremely difficult really 
to do anything effective in the face of other compelling elements of 
human life and living, especially those elements belonging in the 
psycho-biological realm. 

It seems probable that advances likely to be made in physiology 
and psychobiology may profoundly alter human affairs and outlooks 


BIOLOGY AND HUMAN TRENDS—PEARL 343 


in the not very distant future, and particularly in the direction of the 
greater release and more effective control of the energies and poten- 
tialities of man (and of other living things at will). In recent years 
the investigations and deductions of the psychiatrists, endocrinolo- 
gists, and psychobiologists have thrown a beginning glimmer of real 
light upon the underlying biological bases of the activities and con- 
duct of living things, and especially of man. We are beginning to 
understand in some detail and particularity how conduct, normal 
and abnormal, moral and immoral, is the expression of “ animal 
drives” or urges—themselves resultants of subtle chemical and 
physiological changes in the body—rather than of either free will or 
terrestrial and heavenly precepts. It does not seem extravagant to 
expect that as this understanding broadens and deepens ways may be 
found to bring it about that men will act somewhat more intelligently 
and less harmfully in politics, business, society, religion, and else- 
where generally, than they sometimes have in the past. The ever 
widening and deepening flow of biological knowledge is plainly 
furnishing a solid, scientific groundwork for a philosophy of life 
based on releases, in contradistinction to the philosophy of life based 
upon inhibitions and prohibitions that has so long held us enthralled. 
I am not unaware that current political philosophies in various parts 
of the world look backward in this regard, and insist on more pro- 
hibitions and regimentations. But they are going against biology, 
and if I read the history of evolution aright, biology will win. 
Nature is never in a hurry. 

This current trend of biology of which we have just been speaking 
has many different aspects. There are some who will recall the wide- 
spread interest and discussion stirred up many years ago by an essay 
of the late William James entitled “The Energies of Men.” It 
dealt with the release of normally untapped and unsuspected poten- 
tialities of men under certain conditions, sometimes those of shock 
and stress, sometimes under the impulsion of the will. Examples 
were given of men who, though enfeebled by poor health, performed 
feats of strength and endurance that would tax the finest athlete, 
when they encountered conditions that imperatively demanded such a 
performance. 

We are working in the laboratory on another angle of the same 
general problem. We have experimented with seedlings, grown 
under very exactly controlled conditions such that all the matter 
and energy for growth and living (save for water and oxygen) come 
from the nutritive materials stored in the cotyledons of the seed 
planted, which themselves are an integral part of the plant. Under 
these experimental conditions the seedling goes through a complete 
life cycle of germination, growth, adulthood, senescence, and eventual 
death. This life cycle corresponds quantitatively very closely to the 


344 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


normal life cycle of the plant in the field, except that it is greatly 
compressed and fore-shortened in time. By appropriate aseptic sur- 
gical procedures we have removed carefully measured parts of the 
food resources stored in the cotyledons of the cantaloup seeds we 
have used, and then observed the relative performance of such muti- 
lated seedlings as compared with the normal controls, in respect of 
growth and duration of life. The net result is to demonstrate that 
the mutilated plants grow much larger and live many times longer, 
as compared with the normal controls, than they would be expected 
to in proportion to the amount of matter and energy for living 
available to them after the operation. The results indicated clearly 
that the operated seedlings utilized their available food resources 
much more effectively than the normal plant does. It is as though 
an inhibitor had been removed from the plant, freeing its potentiali- 
ties for more adequate expression. 

The possibilities suggested by these experiments seem far-reaching, 
though admittedly the exploration of the field has only just begun. 
Work in this direction on plants and lower animals may result in 
such an understanding of the physiology of releasing normally inhib- 
ited biological potentialities as to enable man to unleash effectively 
and usefully more of his own energies. 

In the field of human biology the admitted and crying need is for 
adequate synthesis of existing knowledge. It is an obvious truism 
that we know more in detail about the biology of man than about 
that of any other organism. Anatomists, physiologists, anthropolo- 
gists, psychologists, sociologists, and economists have, by analytical 
methods, piled up a body of detailed information about man that 
is literally colossal. But what does it mean for humanity? Every 
thoughtful person will admit that there is a kind of moral necessity 
to go forward in the attempt to get a better and more comprehen- 
sive understanding of the whole nature of man. The material, mech- 
anized civilization he has evolved may easily become a monster to 
destroy him unless he learns better to comprehend, develop, and 
control his biological nature. If inventions and discoveries cannot 
be intelligently managed after they are made, they are hkely to be a 
curse rather than a blessing. 

The bulk of scientific effort is, and always has been, directed to- 
ward analysis unaccompanied by synthesis. Scientific men have 
mainly left it to philosophers and literary men to be the synthesiz- 
ers of their data, shirking the task themselves with a few notable 
exceptions, of whom perhaps the greatest was a biologist, Charles 
Darwin. But analysis at best leads only to knowledge; while syn- 
thesis may furnish wisdom. And mankind sorely needs more wisdom 
right here and now! 


THE RELATION OF GENETICS TO PHYSIOLOGY 
AND MEDICINE’ 


By THomAsS Hunt MorcGan 
Director of the Wm. G. Kerckhoff Laboratories, California Institute of 
Technology 


[With 2 plates] 


The study of heredity, now called genetics, has undergone such an 
extraordinary development in the present century, both in theory and 
in practice, that it is not possible in a short address to review even 
briefly all its outstanding achievements. At most I can do no more 
than take up a few topics for discussion. 

Since the group of men with whom I have worked for 20 years has 
been interested for the most part in the chromosome mechanism of 
heredity, I shall first briefly describe the relation between the facts 
of heredity and the theory of the gene. Then I should like to dis- 
cuss one of the physiological problems implied in the theory of the 
gene, and, finally, I hope to say a few words about the applications 
of genetics to medicine. 

The modern theory of genetics dates from the opening years of the 
present century with the discovery of Mendel’s long-lost paper that 
had been overlooked for 35 years. The data obtained by de Vries 
in Holland, Correns in Germany, and Tschermak in Austria showed 
that Mendel’s laws are not confined to garden peas, but apply to other 
plants. A year or two later the work of Bateson and Punnett in 
England and Cuénot in France made it evident that the same laws 
apply to animals. 

In 1902 a young student, William Sutton, working in the labora- 
tory of E. B. Wilson, pointed out clearly and completely that the 
known behavior of the chromosomes at the time of maturation of the 
germ-cell furnishes us with a mechanism that accounts for the kind 
of separation of the hereditary units postulated in Mendel’s theory. 

The discovery of a mechanism that suffices to explain both the first 
and the second law of Mendel has had far-reaching consquences for 

1 Nobel lecture, presented in Stockholm on June 4, 1934. Reprinted by permission from 
the Scientific Monthly, July 1935. 
345 


346 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


genetic theory, especially in relation to the discovery of additional 
laws, because the recognition of a mechanism that can be seen and 
followed demands that any extension of Mendel’s theories must con- 
form to such a recognized mechanism, and also because the apparent 
exceptions to Mendel’s laws that came to light before long might in 
the absence of a known mechanism have called forth purely fictitious 
modifications of Mendel’s laws or even seemed to invalidate their 
generality. We now know that some of these “exceptions ” are due 
to newly discovered and demonstrable properties of the chromosome 
mechanism and others to recognizable irregularities in the machine. 

Mendel knew of no processes taking place in the formation of 
pollen and egg cell that could furnish a basis for his primary assump- 
tion that the hereditary elements separate in the germ cells in such 
a way that each ripe germ cell comes to contain only one of each 
kind of element; but he justified the validity of this assumption by 
putting it to a crucial test. His analysis was a wonderful feat of 
reasoning. He verified his reasoning by the recognized experimental 
procedure of science. 

As a matter of fact, it would not have been possible in Mendel’s 
time to give an objective demonstration of the basic mechanism 
involved in the separation of the hereditary elements in the germ 
cells. The preparation for this demonstration took all the 35 years 
between Mendel’s paper in 1865 and 1900. It is here that the names 
of the most prominent European cytologists stand out as the dis- 
coverers of the role of the chromosomes in the maturation of the 
germ cells. It is largely a result of their work that it was possible 
in 1902 to relate the well-known cytological evidence to Mendel’s 
laws. So much in retrospect. 

The most significant additions that have been made to Mendel’s 
two laws may be called “linkage” and “crossing over.” In 1906 
Bateson and Punnett reported a two-factor case in sweet peas that 
did not give the expected ratio for two pairs of characters entering 
the cross at the same time. 

By 1911 two genes had been found in Drosophila that gave sex- 
linked inheritance. It had earlier been shown that such genes he 
in the X-chromosomes. Ratios were found in the second genera- 
tion that did not conform to Mendel’s second law when these two 
pairs of characters are present, and the suggestion was made that 
the ratios in such cases could be explained on the basis of inter- 
change between the two X-chromosomes in the female. It was also 
pointed out that the further apart the genes for such characters 
happen to lie in the chromosome the greater the chance for inter- 
change to take place. This would give the approximate location of 
the genes with respect to other genes. By further extension and 


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distance apart of the genes. 


(After Bridges.) 


36923—36 (Face p. 346) 


B46 ANN OAL REPOMD. SMITHSONTAN at a i 


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GENETICS—MORGAN 347 


clarification of this idea it became possible, as more evidence accumu- 
lated, to demonstrate that the genes le in a single line in each 
chromosome. 

Two years previously (1909) a Belgian investigator, Janssens, had 
described a phenomenon in the conjugating chromosomes of a sala- 
mander, Batracoseps, which he interpreted to mean that interchanges 
take place between homologous chromosomes. This he called 
“ chiasmatypie ”—a phenomenon that has occupied the attention of 
cytologists down to the present day. Janssens’ observations were 
destined shortly to supply an objective support to the demonstra- 
tion of genetic inter- 


change between linked 
genes carried in the 
sex chromosomes of 


the female Drosophila. 

Today we arrange 
the genes in a chart or 
map, figure 1. The 
numbers attached ex- 
press the distance of 
each gene from some 
arbitrary point taken 
as zero. These num- 
bers make it possible 


to foretell how any 

Bie arate thnteanayea AON ae Pasian i> nents cam whee 0, pe 
appear will be in- another chromosome (white). In the lower part of 
herited with respect to Pao as Aap aa of conjugation of these chromo- 
all other characters as 

soon as its crossing-over value with respect to any other two charac- 
ters is determined. This ability to predict would in itself justify the 
construction of such maps, even if there were no other facts concern- 
ing the location of the genes; but there is today direct evidence in sup- 
port of the view that genes lie in a serial order in the chromosomes. 


Gametes 


normal translocation 


heterozygous translocation 


WHAT ARE THE GENES? 


What is the nature of the elements of heredity that Mendel postu- 
lated as purely theoretical units? What are genes? Now that we 
locate them in the chromosomes are we justified in regarding them 
as material units; as chemical bodies of a higher order than mole- 
cules? Frankly, these are questions with which the working genet- 
icist has not much concern himself, except now and then to specu- 
late as to the nature of the postulated elements. There is no con- 
sensus of opinion amongst geneticists as to what the genes are— 
whether they are real or purely fictitious—because at the level at 


348 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


which the genetic experiments lie it does not make the slightest dif- 
ference whether the gene is a hypothetical unit or whether the gene 
is a material particle. In either case the unit is associated with a 
specific chromosome and can be localized there by purely genetic 
analysis. Hence, if the gene is a material unit, it is a piece of a 
chromosome; if it is a fictitious unit, it must be referred to a definite 
location in a chromosome—the 
same place as on the other hypoth- 
esis. Therefore, it makes no dif- 
ference in the actual work in genet- 
ics which point of view is taken. 
Between the characters that are 
used by the geneticist and the genes 
that the theory postulates lies the 
whole field of embryonic develop- 
ment, where the properties implicit 
in the genes become explicit in the 
protoplasm of the cells. Here we 
appear to approach a physiologi- 
cal problem, but one that is new 
and strange to the classical physi- 
ology of the schools. 
We ascribe certain general prop- 
erties to the genes, in part from 
¢ genetic evidence and in part from 
microscopical observations. These 
properties we may next consider. 
Since chromosomes divide in 
Ficurr 3.—(a) Two conjugating chromo” such a wayathat the line of @enes 
somes of Indian corn (after McClintock). , E 
One chromosome has a terminal defi- is split (each daughter chromo- 
ciency. (b) Two chromosomes of Indian some receiving exactly half of 
corn, one having a deficiency near its Ripe e 
middle, When these two chromosomes the original line) we can scarcely 
congue there i a ou tn the loneer_avoid the inference that the genes 
other one. (c) Two chromosomes of In- divide into exactly equal parts; 
dian corn, one having a long inverted |yft, just how this takes place is 
region. When they conjugate they come 
together as shown in the figure to the not known. The analogy of cell 
ie Bt Wes Rens cone os ur division creates a presumption 
that the gene divides in the same 
way, but we should not forget that the relatively gross process in- 
volved in cell division may seem quite inadequate to cover the refined 
separation of the gene into equal halves. As we do not know of 
any comparable division phenomena in organic molecules, we must 
also be careful in ascribing a simple molecular constitution to the 
gene. Qn the other hand, the elaborate chains of molecules built up 
in organic material may give us, some day, a better opportunity to 


GENETICS—MORGAN 349 


picture the molecular or aggregate structure of the gene and furnish 
a clue concerning its mode of division. 

Since by infinite subdivisions the genes do not diminish in size or 
alter as to their properties, they must, in some sense, compensate by 
growing between successive divisions. We might call this property 
autocatalysis, but, since we do not know how the gene grows, it is 
somewhat hazardous to assume that its property of growth after 
division is the same process that the chemist calls autocatalytic. The 
comparison is at present too vague to be reliable. 

The relative stability of the gene is an inference from genetic evi- 
dence. For thousands—perhaps many millions—of subdivisions of its 
material it remains constant. Nevertheless, on rare occasions, it may 
change. We call this change a mutation, following de Vries’ termi- 
nology. The point to emphasize here is that the mutated gene retains, 
in the great majority of cases studied, the property of growth and 
division, and more important still the property of stability. It is, 
however, not necessary to assume, either for the original genes or 
for the mutated genes, that they are all equally stable. In fact, there 
is a good deal of evidence for the view that some genes mutate oftener 
than others, and in a few cases the phenomenon is not infrequent, 
both in the germ-cells and in somatic tissues. Here the significant 
fact is that these repetitional changes are in definite and specific 
directions. 

The constancy of position of genes with respect to other genes in 
linear order in the chromosomes is deducible, both from genetic evi- 
dence and from cytological observations. Whether the relative posi- 
tion is no more than a historical accident or whether it is due to some 
relation between each gene and its neighbors cannot be definitely 
stated. But the evidence from the dislocation of a fragment of the 
chromosome and its reattachment to another one indicates that acci- 
dent rather than mutual interaction has determined their present 
location; for, when a piece of one chromosome becomes attached to 
the end of a chain of genes of another chromosome or when a section 
of a chromosome becomes inverted, the genes in the new position hold 
as fast together as they do in the normal chromosome. 

There is one point of great interest. So far as we can judge from 
the action of mutated genes, the kind of effect produced has as a rule 
no relation to location of the gene in the chromosome. A gene may 
produce its chief effect on the eye color, while one nearby may affect 
the wing structure, and a third, in the same region, the fertility of 
the male or of the female. Moreover, genes in different chromosomes 
may produce almost identical effects on the same organs. One may 
say, then, that the position of the genes in the hereditary material is 
inconsequential in relation to the effects that they produce. This leads 


350 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


to a consideration which is more directly significant for the physiology 
of development. 

In the earlier days of genetics it was customary to speak of unit 
characters in heredity, because certain contrasted characters, rather 
clearly defined, furnished the data for the Mendelian ratios. Cer- 
tain students of genetics inferred that the Mendelian units responsible 
for the selected character were genes producing only a single effect. 
This was careless logic. It took a good deal of hammering to get 
rid of this erroneous idea. As facts accumulated it became evident 
that each gene produces not a single effect, but in some cases a 
multitude of effects on the characters of the individual. It is true 
that in most genetic work only one of these character effects is 
selected for study—the one that is most sharply defined and sep- 
arable from its contrasted character—but in most cases minor dif- 


Ficurn 4.—Diagram of Oenothera chromosomes illustrating the configuration of chromo- 
somes (c and d) when there has been an exchange between different chromosomes as 
indicated in the figure by the black and white. In a and a’ an exchange between 
chromosomes I and II is shown. In b the chromosome group is drawn, in which there 
are two interchanged chromosomes and two whole chromosomes. In ¢ the coming to- 
gether of these four chromosomes is shown, and in d the results of the opening out of 
this cross into a twisted ring. Chromosome pairs, that came in together, pass to 
opposite poles. 


ferences also are recognizable that are just as much the product of 
the same gene as is the major effect. In fact, the major difference 
selected for classification of the contrasted character-pairs may be 
of small importance for the welfare of the individual, while some 
of the concomitant effects may be of vital importance for the 
economy of the individual, affecting its vitality, its length of life, 
or its fertility. I need not dwell at length on these relations be- 
cause they are recognized today by all geneticists. It is important, 
nevertheless, to take cognizance of them, because the whole problem 
of the physiology of development is involved. 

The coming together of the chromosomes at the maturation 
division, and their subsequent movement apart to opposite poles of 
the meiotic figure, insures the regular distribution of one set of 
chromosomes to each daughter-cell and the fulfilment of Mendel’s 
second law. These movements have the appearance of physical 
events. Cytologists speak of these two phenomena as attraction and 


GENETICS—MORGAN 351 


repulsion of the members of individual chromosomes, but we have 
no knowledge of the kind of physical processes involved. The terms 
attraction and repulsion are purely descriptive, and mean no more 
at present than that like chromosomes come together and later 
separate. 

In earlier times, when the constitution of the chromosomes was not. 
known, it was supposed that the chromosomes come together at ran- 
dom in pairs. There was the implication that any two chromosomes 
may mate. The comparison with conjugation of male and female 
protozoon, or egg and sperm-cell, was obvious, and since in all diploid 
cells one member of each pair of chromosomes has come from the 
father and one from the mother, it must have seemed that somehow 
maleness and femaleness are involved in the conjugation of the 


Scale }«~——|mm——>! 


SALIVARY GLAND BRAIN GONAD (Testis) 
Secrefery cells Genglion cells, Germ-track cells (gonial) 
Cells enormous (50) Cells terger (12,1) es Celts small (7) 
Ciresnesomes 


Chromescmncs enormous (400/s iorgér (6 ps) Chvomosemes small (35 p) 
ond show wealth of casily — } shewing nuctooli, consfrictin, but sharp in outline an 
seen internel efructure alsa ligw end dork regicas easy to count 


Ficgurb 5.—Diagram of larva of Drosophila melanogaster, showing the gonad, brain, and 
one of the salivary glands. 


chromosomes also. But today we have abundant evidence to prove 
that this idea is entirely erroneous, since there are cases where both 
chromosomes that conjugate have come from the female, and even 
where both have been sister strands of the same chromosome. 

Recent genetic analysis shows not only that the conjugating chro- 
mosomes are like chromosomes, i. e., chains of the same genes, but 
also that very exact processes are involved. The genes come together, 
point for point, unless some physical obstacle prevents. The last 
few years have furnished some beautiful illustrations showing that 
it is genes rather than whole chromosomes that come to lie side by 
side when the chromosomes come together. For example, occasion- 
ally a chromosome may have a piece broken off (fig. 2, above) 
which becomes attached to another chromosome. A new linkage 
group is thus established. When conjugation takes place this piece 


352 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


has no corresponding piece in the sister chromosome. It has been 
shown (fig. 2) that it then conjugates with that part of the parental 
chromosomes from which it came. 

When a chromosome has lost one end, it conjugates with its mate 
only in part (fig. 8a), i. e., where like genes are present. When a 
chromosome has lost a small region, somewhere along its length, so 
that it is shorter than the original chromosome, the larger chromo- 
some shows a loop which is opposite the region of deficiency in the 
shorter chromosome as shown in figure 3b. Thus lke genes, or cor- 
responding loci, are enabled to come together through the rest of 
the chromosome. More remarkable still is the case where the middle 
region of a chromosome has become turned around (inversion). 
When such a chromosome is brought together with its normal homo- 
logue, as shown in figure 3c, like regions come together by the in- 
verted piece reversing itself, so to speak, so that like genes come 
together as shown, to the right in figure 3c. In this same connec- 
tion the conjugation of the chromosomes in species of Oenothera 
(fig. 4) furnish beautiful examples of the way in which like series 
of genes find each other, even when halves of different chromosomes 
have been interchanged. 

The very recent work of Heitz, Painter, and Bridges has brought 
to light some astonishing evidence relating to the constitution of 
the chromosomes in the salivary glands of Drosophila, figures 5-8; 
plates 1 and 2. 

The nuclei of the cells of the salivary glands of the old larvae 
are very large and their contained chromosomes may be 70 to 150 
times as long as those of the ordinary chromosomes in process of 
division. Heitz has shown that there are regions of some of the 
chromosomes of the ganglion cells—more especially of the X and the 
Y chromosomes—that stain deeply, and other regions faintly (pl. 1, 
fig. 2), and that these regions correspond to regions of the genetic 
map that do not and do contain genes. Painter has made the fur- 
ther important contribution that the series of bands of the salivary 
chromosomes can be homologized with the genetically known series 
of genes of the linkage maps (pl. 1, fig. 1, and pl. 2) and that the 
empty regions of the X and Y do not have the banded structure. He 
has further shown that when a part of the linkage map is reversed 
the sequence of the bands is also reversed ; that when pieces are trans- 
located they can be identified by characteristic bands; and that when 
pieces of linked genes are lost there is a corresponding loss of bands. 
Bridges has carried the analysis further by an intensive study of 
regions of particular chromosomes and has shown a close agreement 
between bands and gene location. With improved methods he has 
identified twice as many bands, thus making a more complete 


Smithsonian Report, 1935.—Morgan PLATE 1 


The chromosomes of the salivary gland of the female larva of Drosophila melanogaster, (after Painter). 
The two X-chromosomes are fused into a single body. This chromosome is attached at one end to the 
common chromocenter at its attachment end. The second and third chromosomes have the attachment 
point near the middle and are fused with the common chromocenter at this point, leaving two free ends 

Like limbs of each of these free ends are fused, giving four free ends in all. 


le 


of each chromosome. 


's 


Yu, 


% 


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2. The relative sizes of the chromosomes in the cells of the gonad (a), of the giant ganglion cells of the 
In (a) a metaphase plate from the gonad is shown. 


brain (d), and of the prophase stage of the latter (b,c). 

In (6) a prophas2 stage from a ganglion cell showing the black (heavily stained) inert regions of the 
chromosomes and the faintly stained regions carrying most of the genes, according to Heitz. In (c) the 
late prophase of the same type of cell is shown intermediate between (b) and (d). The genetic region is 
now stained. In (d) (male) the metaphase of a ganglion cell has chromosomes larger than those of the 
gonad cells as shown in (a). 


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GENETICS—MORGAN 353 


analysis of the relation of bands and gene location. Thus, whether 
or not the bands are the actual genes, the evidence is clear in show- 
ing a remarkable agreement between the location of genes and the 
location of corresponding bands. The analysis of the banded struc- 
ture has confirmed the genetic evidence, showing that when certain 
alterations of the order of the genes takes place there is a corre- 
sponding change in the sequence of the bands which holds for the 
finest details of the bands. 

The number of chromosomes in the salivary nuclei is half that of 
the full number (as reported by Heitz), which Painter interprets as 
due to homologous chromosomes conjugating (pl. 1, fig. 1). More- 
over, the bands in each of the component halves show an identical 
sequence which is strikingly evident when the halves are not closely 
apposed. It has been suggested by Bridges and by Koltzoff that 


SGAGE oa oe 


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Ficurp 6.—Above to right the four pairs of chromosomes of Drosophila in the metaphase 
stage from a cell of the ovary. The two smallest chromosomes are in the middle of the 
group. The same chromosomes from the salivary gland are drawn below to the same 
scale (after Bridges from the Journal of Heredity). 


homologous chromosomes have not only united but that they have 
each divided two or three times, giving in some cases as many as 
16 or 32 strands (fig. 6). The bands may then be said to be com- 
posed each of 16 or 32 genes; or, if this identification of the bands 
as genes is questioned insofar as the genes are concerned, the bands 
are multiples of some kind of unit of which the chromosomes are 
composed. a 

A few examples may serve to illustrate the way in which the 
banded chromosomes confirm the genetic conclusions as to occasional 
changes that have taken place in the serial order of the genes. In 
figure 7 the right half of chromosome 3 from the salivary gland is 
represented. In part the two components are fused, in part are 
separate. In the lower part of the figure a reversed piece of one 
component is present (terminal inversion). Like bands conjugate 


354 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


with like and, as shown in the smaller diagram above, figure 7, this 
is made possible by the end of one component turning back on itself. 
In figure 8 is drawn a short region of chromosome 2. One com- 
ponent has a deficiency for certain genes; the opposite normal chro- 
mosome forms a bulge in the region of the deficiency, allowing like 
bands to come together above and below the deficiency level. 


THE PHYSIOLOGICAL PROPERTIES OF THE GENES 


If, as is generally implied in genetic work (although not often 
explicitly stated), all the genes are active all the time, and if the 


iT Diagram of right half of 


CHROMOCENTER — - — - -----~-? > i. 
(SPINDLE FigeR) Chromosome 3 


SyNnapPsep ---~” 


Terminal Inversion “C3-13a” 
Heterozygote 


Salivary chromosome 


a i | 


a | 


3404 (Reviseo 3586) C.BB. 


Ficurp 7.—Salivary gland preparation of right arm of the third chromosome, illustrating 
a terminal inversion in one of the two components. The two components are fused 
together throughout part of their length and are separate in other parts as shown 
in the small diagram above and to right. The terminal inversion conjugates with 
the noninverted end by turning back, as proved by the sequence of the bands. (After 
Bridges.) 


characters of the individual are determined by the genes, then why 
are not all the cells of the body exactly alike? 

The same paradox appears when we turn to the development of 
the egg into anembryo. The egg appears to be an unspecialized cell, 
destined to undergo a prescribed and known series of changes 
leading to the differentiation of organs and tissues. At every di- 
vision of the egg the chromosomes split lengthwise into exactly 
equivalent halves. Every cell comes to contain the same kinds of 
genes. Why, then, is it that some cells become muscle cells, some 
nerve cells, and others remain reproductive cells? 

The answer to these questions seemed relatively simple at the end 
of the last century. The protoplasm of the egg is visibly different 


GENETICS—-MORGAN ao 


at different levels. The fate of the cells in each region is determined, 
it was said, by the differences in different protoplasmic regions of 
the egg. 

Such a view is consistent with the idea that the genes are all acting; 
the initial stages of development being the outcome of a reaction be- 
tween the identical output of the genes and the different regions of 
the egg. This seemed to give a satisfactory picture of development, 
even if it did not give us a scientific explanation of the kind of reac- 
tions taking place. 

But there is an alternative view that cannot be ignored. It is con- 
ceivable that different batteries of genes come into action one after 
the other, as the embryo passes through its stages of development. 
This sequence might be assumed to be an automatic property of the 
chain of genes. Such an assumption would, without proof, beg the 


Non-terminal Deficiency 
Plexate heterozygote 


SECTION INVOLVED-<\ 


10) 
beet 4 Ht HY 


34d6 c.B.B. 


Ficure 8.—Salivary gland preparation showing a part of chromosome 2. There is a defi- 
ciency in one of the two conjugants. At the level of the deficiency the other com- 
ponent is bent outward, so that above and below this level like bands meet. This 
figure also shows that the salivary chromosomes are made up of 16 strands, the 16 
elements of which fuse together to make each of the cross bands. (After Bridges.) 


whole question of embryonic development, and could not be regarded 
as a satisfactory solution. But it might be that in different regions 
of the egg there is a reaction between the kind of protoplasm present 
in those regions and specific genes in the nuclei; certain genes being 
more affected in one region of the egg, other genes in other regions. 
Such a view might give also a purely formal hypothesis to account 
for the differentiation of the cells of the embryo. The initial steps 
would be given in the regional constitution of the egg. 

The first responsive output of the genes would then be supposed 
to affect the protoplasm of the cells in which they he. The changed 
protoplasm would now act reciprocally on the genes, bringing into 
activity additional or other batteries of genes. If true this would 
give a pleasing picture of the developmental process. A variation of 
this view would be to assume that the product of one set of genes is 
gradually in time overtaken and nullified or changed by the slower 


development of the output of other genes, as Goldschmidt, for ex- 
36923—36——24 


356 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


ainple, has postulated for the sex-genes. In the last case the theory 
is dealing with the development of hybrid embryos whose sex-genes 
are assumed to have different rates of activity. 

A third view may also be permissible. Instead of all the genes 
acting in the same way all the time or instead of certain kinds of 
genes coming successively into action, we might postulate that the 
kind of activity of all the genes is changed in response to the kind 
of protoplasm in which they lie. This interpretation may seem less 
forced than the others, and in better accord with the functional 
activity of the adult organ-systems. 

We must wait until experiments can be devised that will help us 
to discriminate between these several possibilities. In fact, geneti- 
cists all over the world are today trying to find methods that will 
help to determine the relation of genes to embryonic and adult char- 
acters. The problem (or problems) is being approached both from 
a study of chemical changes that take place near the final steps in 
organ formation, especially in the development of pigments, and 
from a study of the early differentiation of the cell groups of the 
embryo. 

We have also come to realize that the problem of development is 
not as simple as I have so far assumed to be the case, for it depends, 
not only on independent cell differentiation of individual cells, but 
also on interactions between cells, both in the early stages of develop- 
ment and on the action of hormones on the adult organ systems. 
At the end of the last century, when experimental embryology 
greatly flourished, some of the most thoughtful students of embryol- 
ogy laid emphasis on the importance of the interaction of the parts 
on each other, in contrast to the theories of Roux and Weismann 
that attempted to explain development as a progressive series of 
events that are the outcome of self-differentiating processes or, as 
we would say today, by the sorting out of genes during the cleavage 
of the egg. At that time there was almost no experimental evidence 
as to the nature of the postulated interaction of the cells. The idea 
was a generalization rather than an experimentally determined con- 
clusion, and, unfortunately, took a metaphysical turn. 

Today this has changed, and owing mainly to the extensive ex- 
periments of the Spemann School of Germany, and to the brilliant 
results of Hérstadius, of Stockholm, we have positive evidence of 
the far-reaching importance of interactions between the cells of dif- 
ferent regions of the developing egg. This implies that original 
differences are already present, either in the undivided egg or in the 
early formed cells of different regions. From the point of view 
under consideration results of this kind are of interest because they 
bring up once more, in a slightly different form, the problem as to 


GENETICS—MORGAN 357 


whether the organizer acts first on the protoplasm of the neighboring 
region with which it comes in contact, and through the protoplasm 
of the cells on the genes; or whether the influence is more directly on 
the genes. In either case the problem under discussion remains ex- 
actly where it was before. The conception of an organizer has not 
as yet helped to solve the more fundamental relation between genes 
and differentiation, although it certainly marks an important step 
forward in our understanding of embryonic development. 


GENETICS AND MEDICINE 


That man inherits his characters in the same way as do other ani- 
mals there can be no doubt. The medical literature contains hun- 
dreds of family pedigrees, in which certain characters, usually 
malformations, appear more frequently than in the general popula- 
tion. Most of these are structural defects; a few are physiological 
traits (such as haemophilia) ; others are psychopathic. Enough is 
already known to show that they follow genetic principles. 

Man is a poor breeder—hence many of these family pedigrees are 
too meager to furnish good material for genetic analysis. When an 
attempt is made to combine pedigrees from different sources in order 
to insure sufficient data, the question of correct diagnosis sometimes 
presents serious difficulties, especially in the older materials; but 
with the very great advances that have been made in medical diag- 
nosis in recent years this difficulty will certainly be less serious in 
the future. 

The most important contribution to medicine that genetics has 
made is, in my opinion, intellectual. I do not mean to imply that 
the practical applications are unimportant, and I shall in a moment 
point out some of the more obvious connections, but the whole subject 
of human heredity in the past (and even at the present time in 
uninformed quarters) has been so vague and tainted by myths and 
superstitions that a scientific understanding of the subject is an 
achievement of the first order. Owing to genetic knowledge medi- 
cine is today emancipated from the superstition of the inheritance 
of maternal impressions: it is free from the myth of the transmission 
of acquired characters, and in time the medical man will absorb 
the genetic meaning of the role of external environment in the 
coming to expression of genetic characters. 

The importance of this relation will be seen when it is recalled 
that the germ-plasm, or, we say, the genic composition of man is a 
very complex mixture—much more so than that of most other ani- 
mals, because in very recent times there has been a great amalgama- 
tion of many different races owing to the extensive migration of the 
human animal, and also because man’s social institutions help to 


358 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


keep alive defective types of many kinds that would be eliminated in 
wild species through competition. Medicine has been, in fact, largely 
instrumental in devising means for the preservation of weak types of 
individuals, and in the near future medical men will, I suggest, often 
be asked for advice as to how to get rid of this increasing load of 
defectives. Possibly the doctor may then want to call in his genetic 
friends for consultation. The point I want to make clear is that 
the complexity of the genic composition of man makes it somewhat 
hazardous to apply only the simpler rules of Mendelian inheritance; 
for the development of many inherited characters depends both on 
the presence of modifying factors and on the external environment 
for their expression. 

I have already pointed out that the gene generally produces more 
than one visible effect on the individual, and that there may be also 
many invisible effects of the same gene. In cases where a condition 
of susceptibility to certain diseases is present, it may be that a 
careful scrutiny will detect some minor visible effects produced by 
the same gene. As yet our knowledge on this score is inadequate, 
but it is a promising field for further medical investigation. Even 
the phenomenon of linkage may some day be helpful in diagnosis. 
It is true there are known as yet in man no certain cases of linkage, 
but there can be little doubt that there will in time be discovered 
hundreds of linkages, and some of these, we may anticipate, will tie 
together visible and invisible hereditary characteristics. I am aware, 
of course, of the ancient attempts to identify certain gross physical 
human types—the bilious, the lymphatic, the nervous, and the san- 
guine dispositions and of more modern attempts to classify human 
beings into the cerebral, respiratory, digestive, and muscular, or more 
briefly, into asthenics and pycnics. Some of these types are sup- 
posed to be more susceptible to certain ailments or diseases than are 
other types, which in turn have their own constitutional character- 
istics. These well-intended efforts are, however, so far in advance 
of our genetic information that the geneticist may be excused if he 
refuses to discuss them seriously. 

In medical practice the physician is often called upon for advice as 
to the suitability of certain marriages where a hereditary taint is 
present in the ancestry. He is often called upon to decide as to the 
risk of transmitting certain abnormalities that have appeared in the 
first-born child. Here genetics will, I think, be increasingly helpful 
in making known the risk incurred and in distinguishing between 
environmental and hereditary traits. 

Again, a knowledge of the laws of transmission of hereditary 
characters may sometimes give information that may be helpful in 
the diagnosis of certain diseases in their incipient stages. If, for 


GENETICS—MORGAN 359 


example, certain stigmata appear whose diagnosis is uncertain, an 
examination of the family pedigree of the individual may help 
materially in judging as to the probability of the diagnosis. 

I need scarcely point out those legal questions concerning the pa- 
ternity of an illegitimate child. In such cases a knowledge of the 
inheritance of blood groups, about which we now have very exact 
genetic information, may often furnish the needed information. 

Geneticists can now produce, by suitable breeding, strains of popu- 
lations of animals and plants that are free from certain hereditary 
defects; and they can also produce, by breeding, plant populations 
that are resistant or immune to certain diseases. In man it is not 
desirable, in practice, to attempt to do this, except insofar as here 
and there a hereditary defective may be discouraged from breeding. 
The same end is accomplished by the discovery and removal of the 
external causes of the disease (as in the case of yellow fever and 
malaria) rather than by attempting to breed an immune race. Also, 
in another way the same purpose is attained in producing immunity 
by inoculation and by various serum treatments. The claims of a 
few enthusiasts that the human race can be entirely purified or 
renovated, at this later date, by proper breeding, have, I think, been 
greatly exaggerated. Rather must we look to medical research to 
discover remedial measures to insure better health and more happi- 
ness for mankind. 

While it is true, as I have said, some little amelioration can be 
brought about by discouraging or preventing from propagating well- 
recognized hereditary defects (as has been done for a long time by 
confinement of the insane), nevertheless it is, I think, through public 
hygiene and protective measures of various kinds that we can more 
successfully cope with some of the evils that human flesh is heir to. 
Medical science will here take the lead—but I hope that genetics can 
at times offer a helping hand. 


CONSERVATION OF THE PACIFIC HALIBUT, AN 
INTERNATIONAL EXPERIMENT 


By Wit1tiAM F. THOMPSON 
International Fisheries Commission, United States and Canada, Seattle, Wash. 


[With 2 plates] 


When Canada and the United States ratified the Pacific halibut 
treaty on October 21, 1924, there was begun the first international 
attempt at conservation and rebuilding of a marine fishery. It 
applied to the Pacific coast halibut, the giant flounder that lives 
on the continental shelf from California to Bering Sea. 

This first treaty placed in the hands of an international commis- 
sion power to gather facts uniformly, as a joint enterprise, in both 
the United States and Canada. Six years later the treaty was re- 
written to give it powers of regulation in conformity with its find- 
ings. Today it can report initial success in a difficult problem, for 
since the new treaty came into being in 1931 the halibut banks have 
steadily improved. 

The members of the International Fisheries Commission at its 
inception in 1924 were as follows: John P. Babcock, Victoria, B. C., 
chairman; Miller Freeman, Seattle, Wash., secretary; Henry 
O’Malley, Washington, D. C.; and William A. Found, Ottawa, Can- 
ada. Mr. O’Malley and Mr. Freeman have resigned. In their places, 
Frank T. Bell, Washington, D. C., and Edward W. Allen, Seattle, 
Wash., have been appointed, the latter now being secretary. 

Marine fisheries, of which that for halibut is the most truly deep- 
sea, have given both scientist and economist a subject for earnest 
consideration during the past 40 years. They are immensely valu- 
able, and yet not enough is known of most of them either to confirm 
or deny serious uneasiness as to their permanence. This lack of 
knowledge is due not only to their inaccessibility, but to their new- 
ness; not only to the difficulty of obtaining proper international co- 
operation in their study, but also to the complexity of the biological 
problem involved. 

They differ from all other resources other than water and air in 
being mainly in international waters. National ownership of land 

361 


362 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


and its resources came into being because exclusive rights are valua- 
ble to the people owning them, and national governments exist to 
guard this ownership. But national governments and national do- 
main assumed definite legal form and limitations long before ex- 
clusive ownership of a fishery appeared worthy of much attention. 
International maritime usages had developed too far before the 
need for protection and conservation became plain. In fact, it was 
not until our scientific age provided power to move vessels and 
trains, to make ice and haul fishing gear, to build cities and import 
food, that the great marine fisheries other than those for salted 
herring and cod began to grow beyond the status of small-boat 
alongshore industries. In a very real sense our greatest fisheries 
are really not older than men now in full vigor, born in the eighties. 
So abrupt has been this growth, so new its consequences, that over- 
night nations have found themselves competing with other nations 
on the same grounds for a vital raw supply, with their own fleets 
and governments already committed more to freedom of access to 
banks on other coasts than to conservation of those on their own.* 
Exploited more slowly, property rights to banks nearest to their 
lands might have gradually grown up. But now, for better or for 
worse, these great resources are mainly international. They are 
everybody’s property, nobody’s particular responsibility; and, just 
as in armaments, no one wishes to take the first step of self-restraint. 

Indeed, there is difficulty in even deciding what should be done 
with them, for a biological problem of first magnitude is involved. 
Fishing, from the standpoint of the fish, is just a greatly increased 
mortality rate at certain sizes. Its effects are bound up with the 
mechanism that enables a species to survive mortality changes. 
There is but little difference between man as he affects the fish he 
catches and a kind of disease, or a change in the environment that 
kills an unusually great number of individuals of special sizes. 
That a fish may survive through the ages, some mechanism to handle 
the recurring periods of greater or less mortality must exist; so 
that, strangely enough, essentially the same biological complex must 
explain both the reaction of a species to fishing and its evolution 
and survival. And to understand it the species as a whole or at least 
an independent part must be studied with complete ability to meas- 
ure the mortality, the growth, and the movements to and fro. 

The task entrusted to the International Fisheries Commission has 
therefore been in a very direct way a challenge to the biologist. He 
is asked to explain this biological complex that governs a valuable 
resource and to show how it may be used without destroying it. 
To be sure, the treaty gives him great advantages. The problem 


1 Fulton, Sovereignty of the Seas, pp. 108, 737. 


CONSERVATION OF THE HALIBUT—-THOMPSON 363 


can be brought together and grasped as a whole through a unified, 
complete system of statistical observation that does not recognize 
boundary lines—a vital matter, for it could not be understood if but 
a part could be seen. For that reason the challenge is a very real 
one and the responsibility great. 

A partial answer cannot suffice. Scientists have worked out rates 
of growth of fish, then have given their guess as to what restraint 
is necessary; they have discovered spawning seasons and times, then 
have said that such times were or were not proper for fishing. 
Little concrete reasoning had connected interesting fact and pro- 
posed regulation. This cannot in good faith be the answer to this 
problem. 

When the Commission was created, it faced a great depletion of 
the supply, especially on the nearby banks. Its first step, that of 
any good scientist, was to gather and analyze all the available in- 
formation regarding the fishery and its history. It found the halibut 
fishery splendidly adapted for this purpose because it was carried 
on by a homogeneous class of fishermen, intelligent and helpful, 
using the same methods, speaking the same language, and operating 
on the same banks. Jt was able to obtain from these fishermen 
records that brought to light the story of the fishery and the banks 
from the beginning and to create a statistical system of observation 
for the future. 

The story could not have been uncovered without a scientific 
method of measuring the changing abundance and the changing in- 
tensity of the fishery. This can be best done by comparing the yield 
of a definite unit of gear from year to year, and by following the 
number of such units used. In many of the great fisheries of the 
world the gear differs greatly from vessel to vessel, and undergoes 
with time a gradual but great change in structure and efficiency, 
so that it is of little use in judging what has happened. But in the 
halibut fishery of the Pacific the gear has been much more constant 
and better standardized. It is a long bottom line on which are 
fastened short lines approximately 5 feet in length, set 9 or 13 
feet apart. Each of these short lines carries a single hook, baited 
usually with herring. The whole, called a “skate” or “string of 
skates ”, is set on the bottom in depths of 50 to 175 fathoms. There 
were, of course, some problems connected with the relative efficiency 
of hooks according to their size, as to whether they were 9 or 13 
feet apart and on heavy or light line. But these problems of 
standardization were readily solved, giving a sufficiently reliable 
unit of effort in the set of a unit of line a certain number of 
fathoms long. The fishermen themselves kept and used records 
of its yield for the purpose of gaging the results of their operations. 
These records as to catch per unit of effort had from the beginning 


364 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


of the fishery been kept in the log books of the captains, enabling 
the catch to be analyzed according to the bank of origin. In the 
offices of the Commission they were collected and sorted according 
to nearly 40 areas, each embracing 60 miles of the trend of the coast. 
Records were obtained for as early as 1906, but, of course, they were 
much more complete for the years subsequent to 1925 when the 
Commission began its work. It is believed that since that time 
the records are more complete than for any other fishery. 

Early records showed that when the first transcontinental rail- 
road had thrown the markets of the eastern United States open to 
our western fishermen, the whole of the yield had come from a rela- 
tively small area within 500 miles to the north of the landing ports 
of Vancouver and Seattle. From this small area the total reached 
a maximum of about 60,000,000 pounds in 1912. But this great yield 
was only obtained by a disproportionate growth of the fleet, be- 
cause the return per unit was continually falling. From 300 pounds 
per unit in 1906, the returns had fallen to 50 in 1926 and to 35 in 
1929. The expansion of the fleet for the time masked this decline 
in abundance, but after attaining the maximum the total yield began 
to fail with the return per unit and in 1926 had reached a level of 
about 26,000,000. The original sources had failed under the strain. 
Not merely had the tremendous expansion of the fleet failed to in- 
crease its yield permanently, a serious economic matter in itself, 
but had caused it to fall to 45 percent of its maximum; and the 
abundance was steadily falling when the Commission took up its 
work. 

In the meantime, however, the fleet had been undergoing great 
changes in efficiency and economy. The market demanded and the 
fleet furnished nearly as great a yield as ever, but to do so new boats 
were built, capable of going farther and tapping new stocks of hali- 
but on new and more distant banks. Many mechanical improve- 
ments were made, so that not only could vessels continue to fish on 
the depleted halibut banks but could go great distances, complete 
their catch in a short time, and return without prohibitive expense. 
The whole story was a vivid illustration of the application of power 
as our scientific age has developed it and made it available. The 
outstanding events were the adoption of gasoline engines in 1906 
and of Diesel engines in 1921. But other seemingly less important 
things were vital. Electric lights permitted a 24-hour day on the 
fishing banks. Power lifted steel anchor cables and hauled the fish- 
ing lines themselves. Many other improvements were made, each 
contributing its bit to the expansion of the fishing grounds and to 
the operation at a lower level of abundance on the older grounds. 

The result was a maintained total catch, hiding successive deple- 
tions of bank after bank, until the yield that came originally from 


CONSERVATION OF THE HALIBUT—THOMPSON 365 


an area of 500 miles was stretched over 2,000 miles of coast from 
Oregon to Bering Sea. 

Such a process of continued expansion did not have any limit in 
the early days. It seemed as though the fisherman could count on a 
continual increase in the efficiency of the vessels and on the existence 
of new banks to which he could resort as long as this efficiency per- 
mitted him. Depletion could be continually balanced by expansion. 
The industry was dependent not on what machinery it possessed but 
upon the constant addition to that machinery. 

But the fisheries of the sea are not inexhaustible in extent, and in 
none of the great fisheries has this recently been so clear as in the 
case of the halibut. It is possible to show that the commercial fishery 
has extended into almost every extreme of the distribution of the 
halibut. 

One of the steps taken by the Commission was to study the occur- 
rence of halibut throughout the world in correlation with its environ- 
ment, because this seemed to define the distribution.* 

For many years scientists had been collecting data on the currents 
of the ocean and the temperatures of the waters; indeed, better 
records were available for such things and for the distribution of 
many smaller animals and plants than were available for the halibut. 
Nevertheless, by careful inquiry the distribution of halibut was 
plotted with sufficient exactness to show that it was taken in waters 
where the temperature was largely between 3° and 8° C. Whether 
temperature is the important factor is not yet known, but at all 
events it is either temperature or associated physical conditions. 

The distribution of waters of these particular temperatures, and 
hence of the halibut banks, is a rather remarkable one. In the At- 
lantic the cold Arctic water meets the warm Atlantic water in 
the passages lying between North America and Greenland, between 
Greenland and Iceland, and between Iceland and the Faroes. And 
the warmer water follows the right-hand, eastern, side of the Nor- 

2 The halibut had until 1904 been regarded as a circumpolar species, common to Atlantic 
and Pacific. In that year P. Schmidt described the halibut of the Okhotsk Sea (speci- 
mens from Aniva Bay, Sakhalin Island) as a distinct species, Hippoglossus stenolepis, 
distinguished from the Atlantic halibut, H. hippoglossus (Linnaeus), by narrower scales, 
the manner in which they are set in the skin, the number of fin-rays, and genera] shape 
of the body. In 1929 he (U.S. S. R., Acad. Sci., C. R., ser. A, vol. 8, pp. 202-208, 1930) 
compared specimens from Japan, Bering Sea, and Vancouver Island, and stated that they 
were identical with H. stenolepis and distinct from the Atlantic form. 

Somewhat more recently Hialmar Rendahl (Ark. Zool., vol. 22, no. 18, pp. 17-65, 
Stockholm, 1931), examining a specimen from Petropawlowsk, Kamchatka, in comparison 
with four specimens from Bohusliin, Sweden, expressed the opinion that it was inter- 
mediate between the Atlantic halibut, Hippoglossus hippoglossus (WLinneus) and H. 
stenolepis Schmidt, and he termed it “ H. hippoglossus camtchaticus.” 

In view of the existence of races of halibut in the Pacific, and presumably in the 
Atlantic, which vary greatly in body proportions and other characters, it is not sur- 
prising that halibut from the two oceans differ. The exact significance of these differences 


and their magnitude as compared to the variation within either ocean is a subject 
deserving of further investigation. ; 


366 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


wegian Sea. Currents flowing through these passages are deflected 
to the right by the revolution of the earth, a current as a rule follow- 
ing the right-hand shore, whether it is passing north or south, The 
water passing to the north warms the right-hand, or eastern, side, 
and there temperatures at which the halibut can live prevail; whereas 
on the western side of each passage the cold currents pass south, and 
temperature falls so low as to prevent its occurrence. There is, 
therefore, across the Atlantic a zone or belt of halibut banks tend- 
ing to lie on the eastern side of each passage wherever currents of the 
warm Atlantic waters penetrate and touch continental shelves. They 
were found on the eastern side of Davis Strait between America 
and Greenland, the southern and western side of Iceland, near the 
Faroes, and on the Norwegian coast, and even in the Barents Sea 
where it is warmed by a branch of the Gulf Stream pressing to the 
right around the North Cape of Norway. 

In the Pacific the Commission found the same temperature rela- 
tionship. The bitterly cold waters of the Okhotsk Sea and the 
northern Bering Sea prevent the occurrence of halibut in numbers. 
On the Asiatic side the warm northward-flowing Japanese Stream 
approaches closely to the Arctic waters of the Okhotsk, and in the 
short stretch of coast line opposite the Island of Hokkaido, where 
the transition from cold to warm occurs, the halibut finds suitable 
waters lying above 3° C. Passing to the eastward over the North 
Pacific, the Japanese Stream is continued by the wind currents, 
rendering temperate the long coast line between California and 
Bering Sea. There 2,000 miles of coast line have bottom temperatures 
between 3° and 8° C., and in accordance with the size of this great 
area a great fishery exists. 

Curiously enough, this distribution corresponds closely to that 
already found by the biologists for certain small invertebrates, which 
they call boreal organisms, living in the tempered water between the 
Arctic and Atlantic Oceans.2 The halibut may therefore be called as 
boreal fish, if its occasional occurrence far outside its normal range 
be ignored. 

Because of this distribution and its limitation by the physical con- 
ditions of the ocean, it has not been possible to find new banks in- 
definitely. There came a time when the increase in efficiency and 
the ability to travel great distances brought the fishermen to the 
natural limits of the halibut distribution. In the Atlantic this devel- 
opment culminated in great mother ships, with their own cold stor- 
ages and fleets of small boats. They could remain at sea for long 
periods, independent of the shore and able to exploit the most distant 


® Broch, Hjalmar, Einige Probleme der biogeographischen Abgrenzung der arktischen 


Region. Berlin. Univ. K. Zool. Mus. Mitteilungen, Bd. 19, 20 p. The Museum, 
Berlin, 1933. 


CONSERVATION OF THE HALIBUT—THOMPSON 367 


banks. On the Pacific coast of America there remained but the south- 
eastern edge of Bering Sea, which vessels have already entered, to 
find of doubtful value. 

The waters into which commercial fishing had extended and over 
which the Commission had jurisdiction, therefore, formed a more 
or less natural unit outside of which no great supply could be ex- 
pected. Connecting the Pacific coast of the United States and the 
small area of halibut banks on the Japanese coasts are two chains 
of islands, the Aleutians and the Kuriles. Along these the banks 
are narrow, quickly deepening, so that but few halibut can be ex- 
pected. Connecting the Pacific coast and Bering Sea are the narrow 
passes through the Aleutians at the end of the Alaska Peninsula. 
Through these there cannot be expected any extensive migration 
of halibut. The coast line from California to the Aleutians seems, 
therefore, to comprise a natural unit of distribution. Within this 
distribution the supply must reproduce itself. 

Yet within this the Commission found that it was not dealing 
with one stock of fish. That much was hinted at by the fact that 
each bank could be depleted in turn. The Commission demonstrated 
the existence of different stocks by several different types of research. 

The first was by scientific experiments in marking. Halibut were 
caught by research vessels, tagged with numbered metal strips on 
the cheek bones, and liberated, and rewards were offered for their 
return when caught by the commercial fishermen. (Pl. 1, fig. 1.) 
Nearly 18,000 of these fish were marked throughout the whole ex- 
tent of the fishing banks. The returns indicate that the immature 
smaller fish, on the average under 12 years of age, migrate very 
little. They seem to mill around inside the bounds of their native 
banks. When maturity is attained, these fish become more migra- 
tory, but they still remain within certain districts. Thus the mature 
fish tagged on the eastern side of the Gulf of Alaska on the famous 
spawning grounds called “ Yakutat Spit ” and “ W Grounds ” moved 
freely westward as far as the entrance to Bering Sea; but rarely 
southward. Other stocks of fish collected for spawning at various 
points along the banks to the south and during the summer scattered 
to adjacent feeding banks. But so intense had been the fishery on 
these older southern banks that very few mature fish were left. 
The great majority of fish were immature and stayed strictly at 
home, forming as many stocks of fish as there were banks. But on 
these southern depleted grounds conditions were so similar that the 
various banks could be grouped as one from the viewpoint of the 
regulation needed. 

Occasionally tagged fish travel great distances. Tags placed on 
fish at the entrance to Bering Sea were sometimes recovered 1,500 


368 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


miles away, off the coast of Washington. But these exceptions were 
so few as not to upset the general conclusions. 

The findings were checked by other methods. For instance, that 
used by the anthropologist to distinguish races was applied. Thou- 
sands of fish were carefully measured, and physical characters such 
as length of head were found to differ from bank to bank. And, 
again, comparison of the rates of growth showed them to be very 
different on different banks. It was apparent that these peculiar 
characteristics could not have persisted unless the stocks had been 
isolated, at least during the growth of the individuals. 

When these stocks of fish had been properly distinguished, it 
became possible to separate into proper units the splendid statistics 
gathered by the Commission as to the yield of the fishery. Those 
for each separate stock of fish could be combined and analyzed. 
Where before the steady increase in the number of stocks utilized 
had masked the changes occurring, and where before contrary ten- 
dencies in two stocks had balanced and obscured each other, now it 
could be seen that the yield in each individual stock was behaving 
in an orderly consistent way. 

So well defined and simple were the laws governing the behavior 
of these stocks that it was possible for the Commission to understand 
what was happening on the banks. Knowing the intensity of the 
fishery it could reconstruct the course of events with sufficient ac- 
curacy to provide a forecast from year to year and to point decisively 
to the type of regulation necessary. 

But these laws that seemed now so apparent were simple only 
when certain biological facts were known. In the first place, the age 
had to be known accurately, because the age is a time scale according 
to which the great changes in the fishery progress. Removal by 
fishing, death, or emigration takes place at certain variable rates, 
annually, and each age class as it enters the stock is decimated and 
finally disappears in accord with these rates. Its age represents the 
time during which these rates have been operating. In the second 
place, these rates of death, of growth, and of migration had to be 
known. The two categories of facts, time or age and rate of change 
in vital processes, are essential; age in itself is of little significance. 

The age and rate of growth were determined by fascinating meth- 
ods developed in recent years and around which a large body of 
scientific literature has grown. Many of the harder parts of the fish 
grow by addition to what has already been formed. Thus in the 
scales new growth occurs around the margins month by month dur- 
ing the year. Rapid growth is shown by a structure different from 
that of slow growth. As in the case of trees, fish undergo changes in 
their rates of growth according to the season. They are cold- 
blooded and change temperature and rate of metabolism with their 


CONSERVATION OF THE HALIBUT—THOMPSON 369 


surroundings. Growth in winter may practically stop. Hence sum- 
mer and winter zones, strikingly similar to’ those of trees, are de- 
veloped. Under the microscope these can be read on the scales like 
those of a tree. In the halibut the scales are small and difficult to 
read. A much clearer picture can be obtained by using the otolith, 
or ear bone. This is a calcareous secretion formed in a sac of the 
internal ear of the halibut at the base of the semicircular canals, 
which somewhat resemble those of man. The crystals of calcium 
carbonate are laid down in definite summer and winter patterns with 
a differing content of organic matter, so that summer zones are 
opaque and white, winter zones translucent. In a large halibut this 
otolith may reach a length of approximately an inch and can readily 
be preserved to be read under a microscope or lens (pl. 1, fig. 2). 

It was found that although halibut grow to a large size they take 
long to do it. Males grow much more slowly than females, the 
largest never exceeding 40 pounds; the largest females commonly 
reach 150 or 200 pounds and occasionally 350 or 400 pounds. Growth 
is very different on different banks. In the colder waters to the 
north and west a fish grows much more slowly. Usually a female 
is 12 years of age before it attains maturity and becomes a migratory 
spawning adult. Extreme ages of 25 or 30 years and over are at- 
tained. In fact, at the greater ages the growth of the otolith is so 
small that there is difficulty in reading it. 

The Commission was thus able to separate the commercial catches 
into the different ages, finding that the numbers diminished with 
great rapidity as the fish grew older. The reason for this became 
apparent when the tagging experiments were analyzed. The returns 
from these indicated that the stock of fish was disappearing at about 
60 percent yearly and that as nearly as could be made out 40 percent 
was due to the fishery itself. These rates of removal by the fishery 
and by natural death were very different according to area. It was 
estimated that on the western grounds about 12 percent annually was 
removed by the fishery, instead of the 40 percent on the southern 
grounds. 

The stock, insofar as it was independent, could be affected only 
by these rates of death or removal and by the rate of growth as a 
balancing factor. On a depleted bank, with a corresponding excess 
of food and a temperature that fluctuated but little, growth seemed 
unlikely to be variable. No evidence of this appeared from the age 
determinations. The natural death rate might well be fairly con- 
stant also in a fish the size of the halibut. This would leave as a 
variable only the intensity of the fishery, with its corresponding 
fishing mortality. An attempt to connect fishing mortality with the 
yield of the fishery and the size of the stock left on the bank seemed 
therefore in order. It succeeded to such an extent that the major 


370 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


changes in the fishery and the stock were explained, and a forecast 
could be made from year to year of what any given amount of 
fishing would yield. 

So important is the principle involved that a careful review will 
be well worth while. It will be of interest to all biologists inter- 
ested in population studies. 

The explanation of how fishing intensity affects the stock is clear- 
est when the changes in a single age group of young are followed 
in a series of hypothetical cases. A thousand young fish, coming 
on the banks as 5-year-olds, may be chosen and their fate under 
natural conditions followed. Natural mortality is not, perhaps, very 
high, but, for simplicity’s sake, it may be assumed to be 20 percent. 

Column 1 in table 1 represents the survivors in successive years, 
the calculation being carried for but 6 years in the interest of 
brevity. The weights at different ages are assumed ones, for the 
sake of clarifying the illustration. The true ones are given in 
table 4. 

In column 2 are given the average weights at successive ages if 
growth is rapid enough just to balance the death rate, and in column 
3 the resultant total weight of the group available in successive 
years if natural mortality alone were operating. From this it is 
seen that the fishermen who might take this group in its tenth year 
would get as great a poundage as though they had taken it in its 
fifth. In columns 4 and 5 a growth rate less than sufficient to bal- 
ance the deaths is supposed. In such a case the fishermen would 
lose a large poundage by waiting. In columns 6 and 7, a third case, 
in which growth greatly exceeds loss by deaths, is shown. Delay 
in this case would greatly profit the fishermen. 

It is plain that the balance between growth and natural death 
determines whether it is profitable to alee the fish early or late 
in life. 

TABLE 1.—Hypothetical illustration showing how balance between growth of 


fishes and natural death rate determines whether it is profitable to take them 
early or late in life 


Growth to balance | Growth equaling Growth equaling 


; 20 percent mor- half the loss twice the loss 
Surviv- tality by death by death 
ors (mor- 
tality 20 ———__—_———_ 
Age ercent) 
Pp Average Total Average Total Average | Total 
weight weight weight weight weight weight 
(1) (2) (3) (4) (5) (6) (7) 
1 Pounds | Pounds | Pounds | Pounds | Pounds | Pounds 
Bi yearsg2 se eee oe 1,000 4.00 4, 000 4.0 4, 000 4. 00 4, 000 
Givens eee eee 800 5. 00 4,000 4. 50 3, 600 6. 00 4, 800 
TiVOal Ss Pee as ee eet 640 6. 25 4, 000 5. 06 3, 240 9. 00 5, 760 
SiVearsos ners pe te eee tee 512 7.80 4,000 5.70 2, 916 13. 50 6, 912 
Oiyearssst2 talet el ai ee 410 9.77 4, 000 6. 40 2, 624 20. 23 8, 294 
JOMVGATS= 22-25 oe eens 328 12. 20 4, 000 7. 20 2, 362 30. 34 9, 953 


CONSERVATION OF THE HALIBUT—THOMPSON 371 


TABLE 2.—Poundage of fish stock surviving each year from a 90-percent annual 
catch (see p. 372) 


Class A Class B Class C Class D Class E Tole he 
ORE (born 1895) | (born 1894) | (born 1893) | (born 1892) | (born 1891) year 
(1) (2) (3) (4) (5) (6) 

Pounds Pounds Pounds Pounds Pounds 
G0): 2 Ss So eee 4, 000 400 40 4 + 4, 444 
LOR TER PEER ERLE Bind ft Saree cer g 4) 400 40 4 oo) eeeen es Soe ee 
UP) oe ee tn 40 4 oy ee SS ee BRS EC ee 
TOO SS eet Ree ies 4 TO Ee eg ee eed | TE BOE ES Ol TO Te oe ed ee eee 


TABLE 3.—Poundage of fish stock surviving each year from an 80-percent annual 
catch (see p. 372) 


Class A | Class B | Class C | Class D | Class E | Class F | Class G otal 
(born (born (born (born (born (born (born ee aah 
Year 1895) 1894) 1893) 1892) 1891) 1890) 1889) year 
(1) (2) (3) (4) (5) (6) (7) (8) 
Pounds | Pounds | Pounds | Pounds | Pounds | Pounds Pounds 
LOOQSERE Ss. Lee 4, 000 800 160 32 6 1 + 5, 000 
GOT sore So ei 800 160 32 6 1 St el eee | eee 
LQ Zee EM LEA Pe 160 32 6 1 cE [Ae AD isk Se 9 ee | ee ee 
NOQ5 sees ee 32 6 1 meal oat a eee oe te A ee ee 
UO a ee ee ee 6 1 ee |e aS eee ae Mel | eee ee ee eS 
10) ae a ee 1 cS ee re | ee | ee ee eee ee 


TABLE 4.* Rate of growth of Goose Island male and female halibut 


Male Female Male and Female 


Age 


Length | Weight | Length | Weight | Length | Weight 


Inches Pounds Inches | Pounds Inches Pounds 
PALTh 4.0 22, 2 4.2 21.9 4.1 
23.2 4.8 24. 2 5.5 23.7 yal 
25.0 5.9 26. 4 vem | 25. 5 6.2 
26. 6 teal 28. 3 8.8 26.6 7.6 
28.3 8.8 30. 3 11.0 28. 8 9.4 
29.9 10.6 32. 5 13.4 30.6 11.3 
3l.7 12.4 34. 4 15.9 32.8 13.7 
33.5 14.5 36.4 18.9 34.4 15.9 
35. 0 16.8 38. 4 22, 2 35. 7 17.9 
36. 8 19.6 40.5 26. 2 37.8 21.4 
38.4 22. 2 42.5 30. 2 40.4 26. 2 
40.1 25.3 44.5 34.8 42.6 30. 7 
41.7 2858 soso oo ale oe Se ee. ee 
43.5 B20) | sae eeeee eee ee ee |e 


1 From H. A. Dunlop, unpublished manuscript. Measurements are average. 


Let us now take the first case, in which the two balance. The 
fishermen might take their 4,000 pounds all in any one year, but as 
a matter of actual practice they do not; they take but a certain 
percentage annually. Yet, since the decrease in numbers is balanced 
by growth, they ultimately secure the full 4,000 pounds from each 
year class of fish. 


25 


36923—36 


372 | ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


If, for the sake of brevity of treatment, we suppose the fishermen 
to take the fish at a high rate, 90 percent annually, the poundage 
of the stock surviving each year would be as in column 1 of table 2. 
But at the time this class was 5 years old the next older age class 
would have been reduced to 400, as shown in column 2, the next 
older to 40, etc. And there would be 4-year classes present on the 
banks, totaling 4,444 pounds. 

If, however, the fishery were less intense, say 80 percent annually 
instead of 90 percent, the same calculation will show that the tak- 
ing of the 4,000 pounds would be spread over 6 years instead of 4, 
and that there would then be 6-year classes present on the banks, 
totaling 5,000 pounds. (See table 3.) 

Yet in both of these cases the fishermen would get 4,000 pounds 
from each age group, and their catch from all the age groups pres- 
ent would total 4,000 pounds each year. But the amount of fish left 
on the bank would be greater under the less intense fishery, and they 
would reach a greater age. This would mean that the less intense 
fishery would catch as much as the more intense, yet would allow 
more fish to reach spawning size. (Incidentally, in halibut, eggs 
are produced approximately in proportion to weight.) 

Of course, had the growth exceeded the loss by death, the fisher- 
men would actually have gained poundage by a less intense fishery, 
because it would allow a greater growth. And, on the other hand, 
had growth been less than loss by death the fishermen would have 
lost poundage even though the amount of fish reaching spawning 
size had been greater. 

These are simplified cases. Under an intense fishery, such as ex- 
isted in the southern halibut banks, only the younger age groups 
are present in any numbers. Among such ages growth seemed to 
equal or even exceed the loss by death, as nearly as our estimates 
could indicate. Had the fishery been much less intense, and had the 
fish survived to a much greater age as a consequence, natural deaths 
would have increased among these older fish and growth would have 
decreased. Hence, although it was fair to expect that in the depleted 
fishery a lessened intensity would either not reduce or would in- 
crease the yield and would increase the number of fish reaching 
spawning size, yet this rebuilding of the stock would ultimately 
produce a condition where natural deaths would outbalance growth 
and further reduction of intensity would become unprofitable unless 
the number of spawners was still too small. 

This analysis was tested by theoretical reconstruction of the stock 
according to the estimated rates of growth and death, and accord- 
ing to the intensity of the fishery. The latter was determined by 
the number of units of gear set each year. The close correspondence 


CONSERVATION OF THE HALIBUT—THOMPSON 373 


between these derived curves of yield and abundance and those 
actually obtained from our records was clear evidence of the correct- 
ness of the theoretical basis of the calculations (figs. 1, 2). 

As an additional proof, regulation reducing the intensity of the 
fishery over a period of 4 years has given the results that would be 
expected. With the limit in pounds for each area unchanged, the 
amount of fishing has been greatly reduced and the abundance on 
the banks increased, in the case of the southern banks about 60 
percent. In the present condition of the fishery it therefore seems 
reasonable to conclude that the abundance on the bank and the 


NUMBER OF SKATES 
——— CATCH PER SKATE 
TOTAL LANDINGS © 


ACTUAL THEORETICAL 


1925 1927 1929 1931 1933 1 Cee 7 9 


Fieurn 1.—Comparison between actual halibut yield and yield expected on a basis of 
theory, showing the total yield and the yield per unit for the grounds south of Cape 
Spencer, Alaska, 1925-33. A skate is a unit of gear, set once. 


number of spawners can be increased at the expense of a reduction 
in the amount of fishing, very likely without loss of poundage, or 
even with a gain, until finally new supplies of young allow an 
increase. 

In this consideration of the effect of the fishery upon the species, 
a very important economic fact has not been stressed. Throughout 
the history of the halibut fishery the intensification of the fishery 
has led to a reduction in the yield per unit. Where the total yield 
tended to be the same for the more and the less intense fisheries it 
can readily be seen why the yield per unit varied in reverse fashion 
to the number of units set. Even where the total yield was thought 
to have increased, this was not sufficient to obscure the decrease in 


374 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


ACTUAL 


1920 1923 1926 1929 | 4 Th /0 


Figure 2.—Comparison between actual halibut yield and yield expected on a basis of 
theory, showing the total yield and the yield per unit for the grounds north of Cape 
Spencer, Alaska, 1920-29. A skate is a unit of gear, set once. 


yield per unit. From the economic standpoint the decrease has been 
the only limit on the intensification of the fishery, the yield per unit 
being forced as low as would permit the fishery to exist, and the 
catch being produced from each bank at the greatest possible cost. 
The abundance on each bank therefore has sought an economic, not a 
biological, level, although the intensity of the fishery and the result- 
ant mortality rate did have important biological consequences, as 
has already been seen. 

Regulation of the intensity of the fishery should therefore have 
the important initial advantage of tending to correct a wasteful 
economic process—production of the catch at the highest possible 
cost and greatest effort. 

The biological principle of this effect of fishing on the abundance 
is one whereby the Commission may increase the proportion of 
spawners, and hence of spawn. In addition, it may lead to a far 
more rational use of the existing supply, whereby the excess of 
growth over deaths can be taken advantage of, whenever and at 
whatever age it exists, to increase the total take. It leads to a defi- 


CONSERVATION OF THE HALIBUT—THOMPSON 25) 


nition of overfishing as of two types: (1) The poor use of the avail- 
able supply by an intensity that takes fish too early and (2) the 
failure to leave enough spawning adults. 

The Commission has seen in process the correction of the first 
type of overfishing. The existing records of catch per unit and of 
total catch might by themselves suffice to indicate whether the exist- 
ing supply is being made better use of. But the matter is different 
with the second type of overfishing. It may require restraint where 
the first type of overfishing does not exist or where it has already 
been corrected. The records of total catch cannot prove or measure 
the increase in spawning adults, or the number of eggs and larvae 
these produce, or the number of the latter that survive to become 
young in the commercial catch. In fact, we know already from 
other species that the relation between these successive stages is not a 
simple one and that the increase may at some time reach its limit 
in any one of them. A slight decrease in the present high intensity 
of fishing should increase disproportionately the numbers of spawn- 
ing adults, and hence of eggs. But the fishery may concentrate upon 
and destroy these adults, or natural mortality may increase as the 
average age is increased. It is, in fact, necessary to prove the fact 
that more young are produced and to correlate their numbers with 
changes in the production of spawn; or to show that these are now 
sufficient and need no increase. 

Modern fishery science indicates that the high mortality due to 
fishing is in part balanced by the more favorable feeding and survival 
conditions which a sparse population encounters. These cause a 
decrease in the rate of mortality due to natural factors and an in- 
crease in the growth rate. Such changes constitute a“ safety factor ” 
which may be exceeded when fishing becomes too extensive. It may 
be the factor which has enabled species to survive great changes in 
natural conditions. Therefore, it is to be expected that a depleted 
fishery in which this safety factor has been exceeded has mortality 
and growth rates which are favorable to a greater production when 
changes in fishing allow a longer life. The limit to favorable regu- 
lation may in consequence be found in the reversion to normal of 
these rates as the stock on the banks is increased. Hence the neces- 
sity for constant observations of the results, however favorable they 
may now be. 

These considerations have led to a program of measuring the hali- 
but in the commercial catch to ascertain the changes in the numbers 
of adults and of young. Vessels whose catches are known to origi- 
nate from banks chosen as typical are met, and as many halibut in 
their cargoes as possible are measured. The resultant data are 
analyzed statistically to show any increase in adults due to reduced 


376 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


mortality, or any increase in young due to previously increased 
spawning. The most that can at present be said is that the changes 
seem to be those expected. 

These considerations also have led to the study of eggs and larvae. 
This study is significant for two reasons: (1) Because these drift 
with the currents and may be carried from bank to bank (the exist- 
ence and extent of this drift would greatly modify any regulations 
designed to increase the spawn if this came from areas other than 
those affected) and (2) because their abundance, as measured by the 
catch per net haul, should reflect the increase in numbers of adults. 
It is a more direct way of measuring this increase than the market 
measurements discussed above, because the commercial fishery may 
take varying percentages of the adults on the banks and is really what 
is taken rather than what is left. 

The eggs and youngest stages of the halibut had never been de- 
scribed in the Atlantic despite the extensive work that had been car- 
ried on there upon the eggs and young of other forms. It is true 
that some of the older stages had been found, but in very small num- 
bers. It was therefore with much satisfaction that the Commission 
was able to find an abundance on the western banks where depletion 
had not been as extensive (pl. 2). 

By examining the catch of adults it was found that the spawning 
season is from the middle of December to near the last of March. 
The adult fish collect in schools at the edge of the continental shelf. 
These schools begin to collect in November, and at that time the 
fishermen find schools of males and of females migrating actively. 
Although these mature fish had become relatively scarce in southern 
waters at the time the treaty of 1924 became effective, because of the 
intense fishery there, they still existed in considerable numbers along 
the banks from the Gulf of Alaska west. There the egg of the 
halibut was found and described. It was one of the largest of the 
fish eggs found, being some 314 to 314 millimeters in diameter. The 
eggs were laid at the edge of the continental shelf in depths of about 
150 fathoms. They were then drifting freely with the currents, and 
by means of large, fine-meshed silk nets great numbers of them were 
caught. To work out their distribution and rate of development, 
hauls with these silk nets were made over a large part of the north 
Pacific between the entrance of Bering Sea and the coasts of Alaska 
and British Columbia. During one winter the vessel used logged 
over 10,000 miles. It was found that the young drifted with the 
ocean waters, developing slowly in much the same way that had often 
been described for flounders or soles. After hatching, the young 
transparent larvae swam upright, an eye on each side, as any normal 
fish should do. It grew steadily in depth of body until, in its fourth 


CONSERVATION OF THE HALIBUT—-THOMPSON 377 


or fifth month, color began to form, and the left eye began its 
migration to the other side. As development proceeded, the left eye 
assumed its usual place beside the other, and one side became densely 
pigmented. The young fish then settled in shallow waters or even 
in tide pools along the coast and became a replica of its parent, lying 
on its blind uncolored side. 

Because of its long floating life, 5 or more months, water currents 
were the most important feature in the life of this young fish, and 
the Commission necessarily undertook studies of these currents, 
because in this remote corner of the Pacific very little had been done. 

On the coasts of British Columbia and Alaska a great many glass 
floats or net buoys are found bearing Japanese characters. These, 
used by Japanese fishermen, are frequently lost and are carried by 
the Japanese current across the Pacific. The Japanese current on 
reaching our coast divides into two branches, one eddying to the 
north through the Gulf of Alaska, the other passing to the south 
and offshore into the influence of the California trades, which carry 
it to the Hawaiian Islands. The separation of the Japanese current 
into its two branches takes place at about the northern end of Van- 
couver Island in summer, south of the Washington coast in winter. 
It was studied by two methods. 

One of these methods was by means of drift bottles, which car- 
ried within them a numbered card asking for their return to the 
commission. ‘They were liberated off the coasts of Washington and 
British Columbia at the point where the Japanese current was ex- 
pected to divide, and at various points in the Gulf of Alaska. An 
astonishing number of these bottles were recovered both from the 
Washington coasts and from the sparsely inhabited coasts of Alaska, 
showing clearly the currents and the great eddy that sweeps to the 
westward through the Gulf of Alaska in both summer and winter. 

These indicated the surface currents only. Some other method had 
to be found that would prove that the deeper layers in which the 
young halibut were found were also moving. A method had been 
worked out by the Norwegians and applied by the International Ice 
Patrol over the Grand Banks in the Atlantic whereby the direction 
and speed of a current could be determined from a knowledge of 
the temperature, salinity, and depth of the waters. The use of this 
method depends upon the fact that a current is deflected to the right 
by influence of the earth’s rotation. Its speed and direction can 
therefore be determined by the internal distortion of the natural 
levels that the layers of more or less dense water would otherwise 
attain. These methods were applied in the Gulf of Alaska confirm- 
ing the evidence of the surface currents as to the point of division of 
the Japanese Stream and the formation of a great eddy flowing west- 
ward through the Gulf of Alaska. 


378 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The work upon the temperature and salinity showed that the 
waters in this district increased in salinity with depth. The increase 
took place much more rapidly at about the level of the edge of the 
continental shelf. The adult halibut spawns on these edges ap- 
parently just within the layer of denser water, in depths of about 
150 fathoms, and its young, hatching and drifting as transparent 
larvae, are carried by the currents in this denser water until the time 
metamorphosis approaches. At that time the young rise into the 
lighter surface water and into the more rapid currents there. It is 
still unknown just how far the young are carried. In the surface 
water they presumably drift inshore as well as alongshore, because 
shortly afterwards the young are found in shallow water and indeed 
along the beach. 

Nothing in this early life history indicates that the young fish 
drift far enough to get out of the coastwise currents. The silk 
nets took them in great numbers immediately outside of the 1,000- 
fathom line and in but scattered numbers farther at sea. The direc- 
tion of the currents and the distribution of the eggs and larvae were 
such as to make us certain that the young from the grounds of the 
Gulf of Alaska, however much they might contribute to banks fur- 
ther westward, could not contribute to those to the southward along 
the coasts of British Columbia and the State of Washington. 

The picture is not yet a precise one. It is known only in its gen- 
eral features. The currents in deep water perhaps move much more 
slowly than we at present believe, and even in the upper layer of 
water it is entirely possible that the drift is such as to carry the 
young inshore rather than any greater distances along the coast or 
seaward. These are points which must be cleared up by further 
research. The work of the Commission has not yet been completed. 

Spread broadcast. in the sea as the eggs of the halibut are, it is 
understandable why such great numbers of them are produced. 
Although the halibut does not usually mature until about its twelfth 
year, nevertheless when it does mature it produces a great number 
of eggs. The eggs are large, but the fish is also large. A 12-year- 
old female may produce 200,000 to 500,000 eggs, depending upon its 
weight, a 20-year-old female may produce between 1,100,000 and 
2,750,000, while some the the larger and older fish have been known 
to produce as many as 3,500,000. That number of eggs would seem 
more than a female could carry, but careful studies have shown that 
only small numbers are ripe at any one time. Before the last stage 
of ripening the eggs measured were approximately half a millimeter 
in diameter, but just before shedding became translucent and large 
and when shed averaged 3.25 millimeters, 


CONSERVATION OF THE HALIBUT—THOMPSON 379 


These great numbers are produced because of the perils which 
the young meet during their drift in the sea. Depending as they 
do upon the currents, vast numbers of them must be swept to sea 
and lost simply because they do not reach the banks upon which 
they can develop. These losses would, of course, be additional to 
those caused by enemies. 

Something like this must happen to the halibut at the southern 
extreme of the range, off the coasts of Washington and Oregon. 
There at one time a very large stock of halibut had accumulated, 
but the fleet, having discovered them, concentrated upon them and 
in 2 years had so reduced them in numbers that only a small fishery 
could be carried on. The fishery has never recuperated and has sup- 
ported but few vessels annually since that time. Apparently the 
powers of recuperation there are small, and it is noteworthy that 
in that district the winds are offshore. The currents may be either 
south or offshore so that the young may indeed be lost in very great 
numbers. 

The life history of the halibut in the light of what has been dis- 
covered may be summarized as follows: 

The halibut along the Pacific coast may be divided into several 
different stocks, that inhabiting the Gulf of Alaska and westward 
being fairly distinct from those to the south. In this stock the adult 
fish migrate freely between the entrance to Bering Sea and Cape 
Spencer on the east. Spawned after an eastward movement the eggs 
and larvae drift slowly in the deeper water for a period of 4 or 5 
months. Then, they rise into the upper layers of water to be de- 
posited inshore and along the coast where they undergo their meta- 
morphosis to small halibut. As such they remain on the bottom 
until they reach maturity. This is reached on the average in their 
twelfth year when they resume the migrating habits of the adult. 

This stock of halibut in the Gulf of Alaska and westward, there- 
fore, has its being in the giant water eddy which is characteristic 
of that region. It does not inhabit the coast of Alaska as much as it 
does the Alaska Stream, or eddy. 

To the south mature fish are so lacking that neither the eggs 
and young nor the adults can be studied with any exactness. AI- 
though it is known that several distinct stocks of adult fish exist 
there on grounds known to the fishermen as spawning banks, yet 
the extent to which the young drift has not yet been demonstrated. 
In the last year, under the regulations of the Commission, the stock 
of adults has shown a distinct increase, and it has been possible to 
begin a study of the eggs and larvae in one of these stocks, that 
off Cape St. James at the southern end of the Queen Charlottes. 


380 § ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Exact studies are being made of the depths at which the halibut 
eggs float, and a more exact examination of the currents and their 
rate of flow is also under way. Judged from the consistency in the 
distribution of the eggs and young already found, it may well be 
that the deeper waters here do not move any great distance during 
the time of the development of the young halibut. That, however, 
remains to be shown. Plainly the currents and physical conditions 
must be known before the characteristics of each stock can be made 
out with any certainty. 

From all these facts regulations have been devised separating the 
coast into areas, limiting the intensity of the fisheries in each area, 
and closing nurseries and spawning seasons. On the walls of the 
Commission laboratories are kept charts showing the changing abun- 
dance of the halibut in its different areas; the great decline in 
abundance from the earliest days until the year 1930 is shown; where 
once 300 pounds of fish were taken on the standard unit of gear 
it is shown that on the southern grounds the yield had fallen to 
35 pounds and on the western to 65 pounds, while the total catch 
on the southern grounds had fallen from 60,000,000 to 22,000,000. 
The Commission was organized in 1924. Under the observation of 
its staff the later part of this decline from 1925 to 1930 occurred. 
At that time the Commission had no powers of regulation. It 
could merely study and analyze, but in 1930 it submitted recom- 
mendations to the two governments, and a new treaty was adopted 
giving the Commission proper regulatory powers. The result is 
shown on the charts kept by the Commission. Beginning with 1931 
the abundance has risen steadily on the banks to the south from 35 
pounds to 60; on the banks to the west from 65 pounds to 90. The 
Commission has made good use of the scientific instruments placed 
at its disposal by its staff. 

Perhaps the most crucial part of this great experiment in con- 
servation is still to come. Its final success depends upon whether the 
character of its results thus far will be clearly understood and 
whether the economic readjustments to increased abundance can be 
made. 

The increased abundance of fish on the banks is somewhat dif- 
ficult for the fisherman to understand. He cannot see why since 
there are more fish he should not be permitted to take more. He 
does not realize at first that the increased numbers of fish are 
due to the greater proportion which the Commission has allowed to 
survive by reducing the intensity of the fishery. He does not realize 
that under present conditions he is taking a smaller proportion of 
each year class of halibut but that in recompense a greater number 
of year classes has come into being. From all of these year classes 


CONSERVATION OF THE HALIBUT—THOMPSON 381 


he is getting as great a total as before but the amount of fishing 
gear he can run has had to be reduced in order that the proportion 
of each age class would be less. As a result, the greater proportion 
of these age classes which has been allowed to survive each year has 
tremendously increased the number of spawning adults. 

The fisherman should welcome effective conservation whereby he 
is able to take his catch with greater ease and in a shorter time. 
It would seem a small price to pay for an ultimately greater number 
of incoming young, but so complicated is our economic machinery 
that difficulties have been met with. Even though the total catch 
has not been reduced the existing fleet has been able to land the 
total allowed by the Commission in a short period of time. Where 
before, 9 months were required, now but 5 are necessary. The 
halibut, however, are largely desired fresh for the market. If 
landed within such a short period a larger proportion of the catch 
must be frozen. To remedy this, the fleet has sought to spread the 
catch over the usual period of time to prevent it becoming a seasonal 
fishery. It is apparent that our economy must be modified to ac- 
commodate restraint in production. 

It may seem to the fisherman somewhat like magic; that by fishing 
less he can obtain as much or more from the sea than before. But 
to the Commission, interested in increasing the number of young, as 
well as making better use of what we have, the results are pro- 
foundly interesting. They see the commercial catches becoming to 
a greater extent composed of mature spawning fish. They see the 
number of floating eggs and larvae increasing, and they await with 
eagerness the time when these increased young commence to show 
in the commercial catch as a real increase of the available stock, an 
increase that may be used, not simply an accumulated reserve. Justi- 
fying each step by its practical success, a great biological experiment 
is In progress, testing the ability of men to perpetuate and exploit 
rationally the vitally important resources of marine fish. 


BIBLIOGRAPHY 


The facts given have been taken largely from the following publications of 
the International Fisheries Commission: 


BABCOCK, JOHN PEASE, CHAIRMAN, and FounpD, WILLIAM A., FREEMAN, MILLER, 
and O'MALLEY, HENRY, COMMISSIONERS. 
1928. Report of the International Fisheries Commission appointed under 
the Northern Pacific Halibut Treaty. Dominion of Canada, Ottawa. 
THOMPSON, WILLIAM F., and HERRINGTON, WILLIAM C. 
1930. Life history of the Pacific halibut. (1) Marking experiments. Vic- 
toria, B. C. 
THOMPSON, THOMAS G., and VAN CLEVE, RICHARD. 
1930. Determination of the chlorinity of ocean waters. Vancouver, B. C. 


382 | ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


McEwen, Grorcr F., THompson, THOMAS G., and VAN CLEVE, RICHARD. 
1930. Hydrographic sections and calculated currents in the Gulf of Alaska, 
1927 and 1928. Vancouver, B. C. 
THOMPSON, WILLIAM F., and FREEMAN, NORMAN L. 
1930. The history of the Pacific Halibut Fishery. Vancouver, B. C. 
Bascock, JOHN PEASE, CHAIRMAN, and FounD, WILLIAM A., FREEMAN, MILLER, 
and O’MALLEY, HENRY, COMMISSIONERS. 
1930. Investigations of the International Fisheries Commission to December 
1930 and their bearing on regulation of the Pacific Halibut Fishery. 
Seattle, Wash. 
THOMPSON, WILLIAM F., DUNLop, Harry A., and BELL, F. HEWARD. 
1931. Biological statistics of the Pacific Halibut Fishery. (1) Changes in 
yield of a standardized unit of gear. Vancouver, B. C. 
THompson, WILLIAM F., and BELL, F. HEWARD. 
1934. Biological statistics of the Pacific Halibut Fishery. (2) Effect of 
changes in intensity upon total yield and yield per unit of gear. 
Seattle, Wash. 
THOMPSON, WILLIAM F., and VAN CLEVE, RICHARD. 
1936. Life history of the Pacific halibut. (2) Distribution and early life 
history. Seattle, Wash. 
THompson, THOMAS G., MCEWEN, GEorGE F., and VAN CLEVE, RICHARD. 
1936. Hydrographic sections and calculated currents in the Gulf of Alaska, 
1929. Seattle, Wash. 
TOWNSEND, LAWRENCE D. 
1936. Variations in the meristic characters of flounders from the north- 
eastern Pacific. Seattle, Wash. 


Smithsonian Report, 1935.—Thompson PLATE 1 


Halibut with numbered metal tag on cheek bone. A reward is offered for the return of such tags by 
fishermen. 


Halibut ear bone or otolith from a seven-year-old fish showing concentric rings by which age can be read. 


Smithsonian Report, 1935.—Thompson PLEATS 


OEE MM, 


— 


Drawn by Jessie W. Phillips. 


1. Halibut larva 15 millimeters long with eyes on opposite sides of the head. 


Drawn by Jessie W. Phillips. 


2. Halibut larva 19.5 millimeters long with left eye in process of movement to the right or colored side. 


THE SWALLOWTAIL BUTTERFLIES 


By AvUSTIN H. CLark 
United States National Museum 


[With 14 plates] 
INTRODUCTION 


Most generally familiar of all the various types of butterflies to 
those who live in the tropical and temperate regions of the world are 
the so-called “ swallowtails.” In very many places they are the most 
conspicuous of all the insects—indeed the most conspicuous of all the 
forms of animal life except the birds. 

Alfred Russell Wallace wrote that the swallowtails occur in the 
greatest profusion in South America, northern India, and the Malay 
islands, and here they actually become a not unimportant feature 
in the scenery. Particularly in the Malay islands the giants of the 
group, the great “ bird-wings” or ornithopteras, may frequently be 
seen about the borders of the cultivated and the forest districts, where 
their large size, stately flight, and gorgeous coloring render them 
even more conspicuous than the generality of birds. 

Sir Joseph Hooker, in his Himalayan journals, says of the swal- 
lowtails in India: 

By far the most striking feature consisted in the amazing quantity of 
superb butterflies, large tropical swallowtails, black, with scarlet or yellow on 
their wings. They were seen everywhere sailing majestically through the still 
hot air, or fluttering from one scorching rock to another, and especially loving 
to settle on the damp sand of the river edge; where they sat by thousands, with 
erect wings, balancing themselves with a rocking motion as their heavy sails 
inclined themselves to one side or the other, resembling a crowded fleet of 
yachts on a calm day. 

Nearly all the swallowtails are large, and not a few are very 
large—in fact, the largest of all the butterflies are members of this 
group. Most of them are marked with strongly contrasting col- 
ors—black or dark brown with white, red, yellow, blue, or green, 
or two or more of these in combination—and many have iridescent 
or metallic spots, or patches of metallic scales. Some have the 
upper surface of the wings largely, or even almost wholly vividly 


383 


384 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


metallic, shimmering gold or golden orange, purple, green, or blue, 
or two or more of these together, such lovely kinds being perhaps 
the most magnificent of all the butterflies. 

The swallowtails are especially to be found in more or less rugged 
regions—hilly or mountainous country—where they haunt the bor- 
ders of woodlands and the nearby fields and gardens, or the roads 
and glades and clearings in the woods. Many like rough and more 
or less open, scrubby country, while some prefer low-lying open 
fields or even the gloomy recesses of swamps. Rocky exposed hill- 
tops, both in woodlands and in open country, are everywhere a 
favorite playground for them. 

Each of the different kinds of swallowtails has its own special 
preferences, which are not quite the same as those of any other 
kind; but some are much less difficult to suit than others. For in- 
stance, our common yellow swallowtail (Papilio glaucus, pl. 8, fig. 30) 
lives both in woods and open country, in lowlands as well as in the 
mountains, from Alaska east to Hudson Bay and southward to Flor- 
ida and the Gulf of Mexico. Our common black parsnip swallow- 
tail (Papilio polyxenes asterius, pl. 12, fig. 59), on the other hand, 
is an open country, chiefly lowland butterfly and will not enter 
woods, while the spicebush swallowtail (Papilio troilus, pl. 11, fig. 
49) and the palamedes of the South (Papilio palamedes, pl. 11, figs. 
47, 48) prefer the woods, especially wet low-lying woods, and will 
not stray far from them. 

Very nearly all the swallowtails are strong upon the wing. The 
larger usually have a leisurely, more or less sailing or gliding flight 
that is often much swifter than it seems to be. This type of flight 
is seen in our giant swallowtail (Papilio cresphontes, pl. 9, fig. 37). 
The smaller swallowtails for the most part have a fluttering, nerv- 
ous flight which in some is very irregular, in others direct and 
very swift. This nervous, erratic flight we see in our common 
black parsnip swallowtail (Papilio polywenes asterius, pl. 12, fig. 
59) as we watch it dashing about over the clover fields, and in the 
even more impetuous flight of the large summer males of the blue 
swallowtail (Papilio philenor, pl. 11, fig. 53). In some of our 
swallowtails the small individuals of early spring, found chiefly 
in the woods, have a fluttering and active flight that is more or 
less widely different from the flight of their much larger summer 
children, living largely in the open. We notice this in the yellow 
(Papilio glaucus, pl. 8, fig. 30) and the zebra (Papilio marcellus, 
pl. 13, fig. 78) swallowtails. 

Mainly tree-top butterflies, flying strongly, swiftly, and very 
bigh, or sailing about the branches far above the ground, are the 
largest and most magnificent of the swallowtails, the ornithopteras 
or bird-winged butterflies (pl. 1, fig. 1) of the Malayan region. 


SWALLOWTAIL BUTTERFLIES—CLARK 385 


Quite different are the habits of the smallest swallowtails—curious 
little creatures with largely transparent wings and very long tails 
(Leptocireus, pl. 1, fig. 2)—that are found in southeastern Asia and 
in the large Malayan Islands. According to Henry O. Forbes, these 
queer little butterflies flit over water fluttering their tails, jerking up 
and down just as dragonflies do when flicking the water with the tip 
of their abdomens. They mimic the habits of the dragonflies and 
are often to be found flying together with them. When they settle 
on the ground they are difficult to see, for their tails and wings are 
constantly in vibratory motion, so that a mere haze, as it were, exists 
where they are resting. 

Perhaps more curious still are a few swallowtails of medium size 
that look much more like butterflies of other groups than they do like 
swallowtails. These have an awkward, clumsy flight like that of 
the butterflies they resemble. 

All of the swallowtails are very fond of nectar and are therefore 
familiar visitors to gardens, where in certain places multitudes dis- 
port themselves about their favorite plants. When feeding on the 
flowers some of the swallowtails rest quietly with their bodies hang- 
ing vertically and the wings fully extended. This is the usual habit 
of the giant (Papilio cresphontes, pl. 9, fig. 87) and the yellow 
(Papilio glaucus, pl. 8, fig. 30) swallowtails. Others, like the pars- 
nip (Papilio polyxenes asterius, pl. 12, fig. 59) and the spice-bush 
(Papilio troilus, pl. 11, fig. 49) swallowtails keep their wings more 
or less constantly in motion and the body horizontal or more or less 
inclined, but very seldom vertical. If you watch carefully a swallow- 
tail fluttering on a flower—a parsnip or a spice-bush swallowtail— 
you will be surprised to see that only the fore wings are in motion; 
the hind wings are motionless and expanded, making with each other 
an angle from a right angle to an angle half again as great. The 
gorgeous ornithopteras when feeding, like the blue swallowtail (Pa- 
pilio philenor, pl. 11, figs. 53, 54), their commonest representative in 
North America, always keep their wings in motion, and one long- 
winged kind living in the Malayan region (Papilio brookeana) moves 
its wings so very fast as to suggest a hummingbird. 

All swallowtails fly only in the daytime, most of them only when 
the sun is shining. However, a few are very early risers. Among 
our native kinds the blue swallowtail (Papilio philenor, pl. 11, figs. 
53, 54) is always the first to visit flowers in the morning and the 
last to disappear at night. In small numbers and in indolent fash- 
ion as if only half awake it begins to fly about shortly before sun- 
rise, and a few are to be seen until nearly dark, competing with the 
hawk moths for the nectar from the flowers. The blue swallowtail 
is already feeding before the other swallowtails have begun the 
process of awakening, which usually consists in resting on some con- 


386 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


venient leaf with fully expanded wings exposed to the direct rays 
of the early morning sun, and it is still feeding long after the other 
kinds have gone to sleep hanging from a leaf. 

This habit of sleeping hanging from a leaf, common to most swal- 
lowtails, has the great advantage that escape for a large and none 
too agile butterfly is easy in case of an attack by enemies, either fly- 
ing or tree-climbing creatures. But it has the disadvantage that 
if a wind arises, the insect will be blown against the neighboring 
leaves, and the outermost portions of the wings, the tails, and the 
adjacent portions of the hind wings, will suffer damage. The torn 
hind wings of swallowtails are evidence of the precariousness of 
their roosting places at night, not of attacks by birds. 

Though relatively large, powerful, and swift, swallowtails seem 
to be almost entirely devoid of the exploring spirit. They do not 
indulge to any great extent in the migrations so characteristic of 
some other types of butterflies. 

Only 18 kinds of swallowtails have been reported in migratory 
flight. In North America the giant swallowtail (Papilio cresphontes, 
pl. 9, fig. 87) and the spice-bush swallowtail (P. troilus, pl. 11, fig. 
49) have once been reported at the end of August and early in Sep- 
tember migrating at Point Pelee in western Lake Erie, together 
with that well-known wanderer, the common milkweed butterfly 
(Danais plexippus). But not infrequently stray individuals of 
various swallowtails may be found more or less far from their nor- 
mal habitat. Thus I have recorded the zebra swallowtail (Papilio 
marcellus, pl. 18, fig. 78) from Boston, Mass., and it has also been 
recorded from Vancouver Island; the giant swallowtail (P. cres- 
phontes, pl. 9, fig. 37) has been recorded from Maine and Nova 
Scotia, and I once caught one near Boston; and the southern mag- 
nolia swallowtail (Papilio palamedes, pl. 11, figs. 47, 48) has been 
caught at Philadelphia. However, such sporadic occurrences cannot 
properly be considered as evidence of true migration. 

In British Guiana great numbers of a silky white swallowtail 
(Papilio philolaus) were once observed flying all in the same direc- 
tion, mostly in a steady way, but a few resting here and there upon 
the ground. There are no other notices of swallowtail migrations in 
America. 

It is curious that only the giant swallowtail (Papilio cresphontes, 
pl. 9, fig. 37) has been reported from Bermuda, although our small 
least sulphur (Z'wrema lisa) sometimes visits the islands in enormous 
numbers, and the yellow clover (Hurymus philodice philodice) and 
one of our wood-loving wood nymphs or satyrids (Hnodia port- 
landia) are among the islands’ 14 butterflies. 

The common yellow swallowtail of Europe (Papilio machaon) 
appears to have had a migration in the north of France, in the 


SWALLOWTAIL BUTTERFLIES—CLARK 387 


Channel Islands, and in the south of England in 1900. A small 
migration was reported near Bagdad, Iraq, in 1918 or 1919, and in 
1872 numbers of individuals were observed about 5 miles from land 
off Monte Pellegrino, near Palermo, Sicily. 

No swallowtail migrations have ever been reported from Australia 
or from Africa. No less than 11 different kinds, however, have been 
reported in migratory flight in southern Asia, chiefly about Ceylon 
and southern India; but there are two records from Siam and one 
from New Guinea. 

Nearly all the records of oriental swallowtail migrations mention 
these butterflies as components, more or less important, of mixed 
flocks chiefly of white and yellow butterflies (Pieridae), often with 
relatives of our milkweed butterfly (species of Huploea and Danais) 
and various other kinds. So the swallowtails seem really to be home 
lovers that are sometimes led astray by their sociability, which in- 
duces them to follow along with other sorts of butterflies toward 
an unknown destination. 

Only a single swallowtail (Papilio hector of India and Ceylon) 
has been reported with any frequency at sea, but this has been 
captured as much as 200 miles from land (Ceylon). 

The lack of the exploring spirit in the swallowtails is accompanied 
by a similar lack of a belligerent attitude toward other living things. 
They are more peacefully inclined than the majority of butterflies. 
Live and let live seems to be their motto. Though they indulge 
more or less frequently in duels, the males as a rule do not display 
that spirited aggressiveness and zest for combat so characteristic 
of the males of many butterflies. Neither are they prone to bully 
other insects. They go about their own affairs with a calm disre- 
gard for other creatures. 

Still, on occasion temptation may prove too much for them. I 
have seen a blue swallowtail (Papilio philenor, pl. 11, fig. 53) turn 
from its course to chase an English sparrow that rose from the 
grass, continuing the chase until the frightened bird was safe among 
the branches of an apple tree. Incidentally, from this incident I 
learned the speed of flight of the blue swallowtail. This butterfly 
has such an erratic flight it is impossible to pace it. But this par- 
ticular individual followed the scared sparrow in a perfectly straight 
line. The speed of the sparrow was about 25 miles an hour, and 
that of the butterfly was the same. 

It happens that the only insect I have ever seen attacked and 
routed by a fritillary is this same blue swallowtail. Once I was 
watching a pair fluttering about together about 3 feet above some 
milkweeds when a male of our largest fritillary (Argynnis diana) 


dashed at them, sending them scurrying off in opposite directions. 
36923—36—26 


388 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 
SOME PECULIARITIES OF SWALLOWTAILS 


In their general appearance the true swallowtails (Papilio) show 
great diversity, though in spite of their wonderful variety of form 
and color they are structurally all very much alike. 

Most of the swallowtails have the hind wing produced into a tail- 
like process that may be long and narrow, short and broad, acute or 
spatulate, or even racketlike; a few have two or even three tails—one, 
indeed, possesses four. But some have merely a slight tooth where 
the tail ought to be, and) many have the hind wings simply rounded 
with no trace of tails at all. The tail, when present, is stiffened and 
supported by the prolongation of one of the veins of the hind wing; 
in Papilio elwesi and two related forms occurring in western China 
and Formosa the unusually broad tail is supported by two veins. 

In the majority of the swallowtails the sexes are almost or quite 
alike in form and in the color of their wings, but in many they are 
very widely different. The females are almost always larger than 
the males, usually slightly larger, but sometimes, as in Papilio para- 
disea, very much larger. Very rarely they are slightly smaller; in a 
single case, Papilio antimachus, very much smaller. Usually the 
males are more numerous than the females, and in quite a number 
the females are as yet unknown. In a few, as Papilio priapus and 
P. sycorax, the females are more numerous than the males. Usually 
both sexes inhabit the same territory, though the males are more 
active than the females, so that they are more frequently seen in 
gardens and in open country, and are more often caught. But in 
some kinds, as Papilio aeneas marcius, P. sesostris sesostris, and P. 
wertumnus diceros of the lower Amazon, the males are found in 
swampy shades and the females in more open places. 

In some, as Papilio paradisea and P. dardanus, the males possess 
conspicuous tails, while the females lack all traces of them; and in 
others, as P. memnon, the males are tailless and some of the females 
have conspicuous tails. Some swallowtails, as Papilio polytes, 
P. dardanus, and P. memnon, have a varying number of different 
types of females, though only a single type of male. A few have 
several types of males but only a single type of female. Several, 
as our Papilio bairdi (pl. 12, figs. 55-57; pl. 13, figs. 67-70), have 
two or three or more different color types common to both sexes. 

Widely ranging swallowtails always differ more or less from one 
region to another, and often are divisible into several or many dif- 
ferent forms, especially if they range over the islands of an archi- 
pelago, or imeuaiane the higher ee of an extensive mountain 
system. Usually both the males and females show similar, or at 
least correlated, local variation, but not infrequently this local varia- 
tion is only evident, or at least conspicuous, in the females, far more 


SWALLOWTAIL BUTTERFLIES—CLARK 389 


rarely only in the males. One wide-ranging swallowtail in southern 
Asia, Papilio polytes, has 4 different types of females in one region, 
3 in another, 2 in another, and in some places only 1. 

It is a most curious fact that in many regions all the native 
swallowtails, in other regions the majority, or several, differ from 
the corresponding forms in adjacent regions in certain definite ways. 
Bates pointed out that species in three distinct groups which on the 
upper Amazon and in most other parts of South America have 
spotless fore wings acquire white or pale spots on the fore wings 
in the lower Amazon region and about Para. As was pointed out 
by Wallace, the swallowtails of Sumatra, Borneo, and Java are 
almost invariably smaller than the allied forms in the Moluccas and 
in Celebes. No less than 14 kinds in Celebes and the Moluccas are 
from one-third to one-half again as great in extent of wing as the 
corresponding forms in Borneo, Java, and Sumatra. The species 
in New Guinea and in Australia are also, though in a less degree, 
smaller than their closest representatives in the Moluccas. In the 
Moluccas themselves the forms found on Amboina are the largest. 
The forms on Celebes equal or even surpass in size those of Amboina. 

Species that are tailed in India become tailless to the eastward 
on the islands of the Malayan archipelago. In America all except 
two of the very numerous Aristolochia swallowtails occurring between 
Costa Rica and southern Brazil are without tails, whereas nearly 
every species occurring from southern Brazil southward and from 
Costa Rica northward is provided with tails. 

Almost every species of swallowtail on the island of Celebes has 
the fore wings more elongate and falcate than the corresponding 
forms elsewhere, with the anterior margin much more strongly curved 
and usually with an abrupt bend or elbow near the base. 

In many swallowtails there is great individual variation. Most 
commonly this is confined to the females. Sometimes it is equally 
evident in both sexes, and rarely it is seen chiefly in the males. Varia- 
tions may be of constant occurrence or sporadic. They may occur 
throughout the range of a species, or they may be confined to certain 
regions within that range. In Papilio memnon of eastern India and 
the Malayan region the females, which may be either with or without 
tails, are most extraordinarily variable in color and color pattern, 
except on the Riu Kiu Islands, where there is only a single type of 
female. HKven more variable are the tailless females of the African 
P. dardanus; but in the form occurring on Madagascar the sexes are 
alike. In Papilio clytia from India and the Malayan regions both 
sexes are very variable. The dark forms show division into geo- 
graphical races, but the light forms, though very variable, do not. 
In the Philippines and Palawan only the dark form occurs, and on 


390 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the Andamans only the light form. Papilio paradoxus from the 
Malayan regions is another species showing extreme variability. 
Among our own swallowtails Papilio glaucus (pl. 8, figs. 30, 31; pl. 10, 
fig. 41; pl. 12, fig. 65) is very variable in the female sex in the northern 
half of its range, P. polyenes (pl. 12, figs. 59, 60) is variable in the 
male from Arizona and New Mexico southward, and P. bairdi (pl. 12, 
figs. 55-57; pl. 18, figs. 67-70) has widely different forms in both 
Sexes. 

In a number of swallowtails, particularly in eastern Asia and east- 
ern North America, the individuals appearing in early spring are 
much smaller than, and more or less widely different from, summer 
individuals of the same species. (See pl. 13, fig. 78, and pl. 14, fig. 
89.) In others in the Tropics there are more or less marked wet and 
dry season forms. 

Strange aberrations of all sorts, some of rather frequent recurrence, 
are found in many species (pl. 9, fig. 40; pl. 12, figs. 61, 66). 


WHAT IS A SWALLOWTAIL? 


Many friends we recognize at once without appreciating just what 
it is about them that enables us to distinguish them from many other 
friends. It is the same with swallowtails. It is easier to distin- 
guish them from other kinds of butterflies than to describe how it 
is you do it. 

In the swallowtails all six legs are perfect and are used for walk- 
ing in both sexes, and the longest joint (tibia) of the legs of the 
first pair bears near the middle of the inner side a leaflike appendage 
or epiphysis, as in the skippers (Hesperiidae). The head is large, 
but much less broad than in the skippers, and the bases of the an- 
tennae are close together. 

Swallowtails are mostly large or very large, but a few are of 
medium size and a very few are small. The very small ones are all 
provided with enormously long tails. 

They are found throughout the world except in the extreme north, 
in southernmost South America, in New Zealand, and in the highest 
altitudes in the Andes. They are especially numerous and varied in 
the Tropics, particularly in South America, northern India, and the 
Malayan region, including the larger islands of the Malayan Archi- 
pelago. The greatest variety of different types, however, is found in 
temperate Asia. On the other hand, Africa has the least number of 
different types, though the number of kinds found there is fairly 
large. 

The largest local butterflies are swallowtails in every region of 
the world except in South America, where these are surpassed in 
size by some of the owl butterflies (Caligo) and the morphos. In- 


SWALLOWTAIL BUTTERFLIES—CLARK 391 


deed, in the Western Hemisphere the largest of the swallowtails 
(Papilio homerus) lives not upon the continent, as would be expected, 
but upon the island of Jamaica and the most beautiful one (Papilio 
gundlachianus) is confined to eastern Cuba. 

The numerous species of Papilio are divisible into three major 
sections, and each of these falls into numerous minor groups of 
greater or lesser value. These groups are known as the Aristolochia 
swallowtails, the fluted swallowtails, and the kite swallowtails. 


THE ARISTOLOCHIA SWALLOWTAILS 


The Aristolochia swallowtails are so called because their caterpil- 
lars feed only on the leaves of the Dutchman’s pipe (A7ristolochia) 
or closely related plants. 

They are especially distinguished by their curious caterpillars. 
These when fully grown are stout, soft, and black in color, with on 
each segment from 4 to 6 fleshy tubercles or filaments varying 
in length according to the species, some of which may be orange or 
red. ‘They are densely covered with minute hairs, which gives them 
a velvety appearance. 

The butterflies themselves are very much less obviously different 
from those of the other sections than are the caterpillars or the 
chrysalids. But, though rather inconspicuous, their distinctive char- 
acters are of a fundamental nature. The antennae are not scaled, and 
to the naked eye they appear less distinctly jointed than those of the 
species in the other sections, as the segments are basally not markedly 
constricted or compressed. The bodies of the Aristolochia swallow- 
tails are curiously soft, and on pressing the thorax, or portion be- 
tween the wings, a yellow liquid oozes out from all the sutures, and 
sometimes even from the tips of the antennae. They are very tena- 
cious of life and will recover from a pinch that will kill any species 
of the other sections. 

In all the Aristolochia swallowtails the flight is direct, and in most 
cases low. Some have a rather rapid nervous flight, but the flight 
of most of them is clumsy, and in the larger oriental ones often 
quite awkward. All of them keep their wings in motion while feed- 
ing. They are unsuspicious, and most of them may easily be taken 
with the hand. 

The species of this section seem all to be common where they 
occur, though many are very local. They live in and about the 
woods and forests, and are very frequent visitors to gardens. Where- 
ever Aristolochia is grown as a cultivated plant they are quick to 
discover and to take advantage of it. 

The Aristolochia swallowtails are found in North and South 
America, Asia, Australia, and Madagascar, but there are none in 


392 § ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Africa or Europe. They are especially abundant in the Tropics, 
and do not extend so far to the northward as do the fluted swal- 
lowtails. 

In America none of the Aristolochia swallowtails are very large, 
and none are very striking in appearance. It is in southeastern 
Asia and thence eastward through the Malayan archipelago and 
southward to Australia that the largest and finest of these butterflies 
are found. Especially in New Guinea and on the surrounding is- 
lands they reach a size exceeding that of any other butterflies and 
at the same time a brilliance and diversity of color unsurpassed by 
any other butterflies elsewhere. 

These gorgeous giants of the group have commonly been sep- 
arated from the other swallowtails and treated as a special genus 
called Troides or Ornithoptera (pl. 1, fig. 1). But the differences 
between them and the other Aristolochia swallowtails are so very 
shght as to render such treatment quite impracticable. Excepting 
only for their larger size, their caterpillars and chrysalids are quite 
like those of the other species of the section. Several magnificent 
kinds are found only on New Guinea. Among these is the largest 
of all butterflies, the great Papilio alewandrae, of which the dingy 
blackish female measures slightly more than 1014 inches across 
the wings. The male, which has curious narrow rounded wings, 
is also very large, 814 inches in expanse, and also very handsome, 
metallic green shading to metallic blue and marked with black. 

In some of the Aristolochia swallowtails the males have a strong 
and pleasant odor. This is especially noticeable in the common 
Papilio aristolochiae of southern Asia, which because of its fragrance 
is known as the “ rose-butterfly ”, and in Papilio devilliers of Cuba 
and southern Florida (pl. 11, figs. 51, 52), which is strongly scented 
with a delicious perfume resembling that of a fragrant orchid. 


OUR NATIVE ARISTOLOCHIA SWALLOWTAILS 


Ranging over most of the United States, but commonest in the 
southeastern section, where in certain regions it is the most numerous 
of all the swallowtails, we find the blue swallowtail (Papilio phile- 
nor, pl. 11, figs. 53, 54; pl. 14, figs. 82, 83). One of our very prettiest 
butterflies this is, though full appreciation of its beauty is often 
somewhat dimmed by its predilection for laying its eggs on Dutch- 
man’s pipe when planted as an ornamental vine about porches and 
verandas. 

Much like this on the upper side, but very different underneath 
is another kind (Papilio devilliers, pl. 11, figs. 51, 52), an inhabitant 
of Cuba sometimes found in Florida. 


SWALLOWTAIL BUTTERFLIES—CLARK 393 


In southern Georgia, southern Florida, Texas, Arizona, and south- 
ern California there appears, more or less irregularly, a related kind 
wholly without tails (Papilio polydamas, pl. 14, figs. 79, 80). This 
butterfly lives all over tropical America and as far south as Buenos 
Aires. In Florida, in addition to the typical form, there is also 
found the variety (lucayus, pl. 14, fig. 81) whose proper home is 
the Bahama Islands. 

Another Aristolochia swallowtail (Papilio areas mylotes, pl. 14, 
figs. 86-88) has been said to occur in the Gulf States, but the record 
is very dubious. Its home is in Central America. 


THE FLUTED SWALLOWTAILS 


The second and largest section of the genus Papilio includes the 
so-called fluted swallowtails. These are especially characterized by 
having the inner margin of the hind wings, next to the body, al- 
ways curved abruptly downward so that it appears to be longitudi- 
nally grooved or fluted, particularly when viewed from the under 
side. In this feature both sexes are alike. 

The caterpillars of the fluted swallowtails are more varied than 
are those of the other groups. They are generally brightly colored, 
often streaked with patches of oddly mingled colors or provided 
with a few large eye-spots, giving them a startlingly grotesque 
appearance, 

In contrast to the Aristolochia swallowtails, the antennae of the 
fluted swallowtails are scaled at the base and are distinctly jointed, 
the segments being more or less narrowed basally and somewhat 
compressed, The bodies of the fluted swallowtails are hard and 
brittle, and even a slight pinch on the thorax will kill, or at least 
permanently disable, them. 

In habits the fluted swallowtails are more varied than the species 
of either of the other sections of Papilio. Most of them are notice- 
ably shyer than the Aristolochia swallowtails. Some, especially 
among the larger kinds, sweep and sail along with occasional heavy 
flapping of the wings in clearings or about the borders of woods, 
or even over the tree tops; others fly about in a rather leisurely 
but very matter-of-fact way, as if they knew exactly what they 
wanted and were going after it; many have a swift and direct 
nervous fluttering flight and keep their wings constantly in motion 
when on flowers; while a few have an awkward, clumsy flight of 
such a stupid nature as to appear wholly foreign to any swallow- 
tail. Some of the species keep mostly in or very near the woods, 
others live equally in woods and in more or less open bushy coun- 
try or in orchards, and a few are confined to open country. They 


O94 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


vary greatly in abundance. Some are very common, others are 
frequent, but never common, and a few are always rare. 

The caterpillars feed on a very great variety of different plants, 
though mostly on shrubs or trees; only a few feed on herbaceous 
plants. The orange family (Rutaceae) is especially the favorite, 
and in every region where oranges are grown one or more kinds 
of fluted swallowtails are more or less a pest upon them. More or 
less strongly aromatic plants belonging to the laurel, magnolia, 
carrot, and aster families (Lauraceae, Magnoliaceae, Apiaceae, and 
Asteraceae) are also favored, and a few species are more or less of 
a pest upon parsley, parsnips, celery, and related plants (Apia- 
ceae). But, besides these aromatic plants, very many other kinds 
in a great number of different families are also fed upon by the 
caterpillars of the fluted swallowtails. 

Many species feed only on a single kind of plant, some will feed 
on several closely related or chemically similar plants, and a few 
are general feeders. One of the most remarkable is our yellow 
swallowtail (Papilio glaucus), which is equally at home on a great 
variety of plants belonging to more than a dozen different families. 

Fluted swallowtails are cosmopolitan, and range much farther 
to the northward than the species of the other sections. In Europe 
one and in North America two cross the Arctic Circle. But the 
great majority are tropical. 

Though none are so large as the giant Aristolochia swallowtails 
of New Guinea and adjacent islands, some of the fluted swallow- 
tails are of imposing size. The largest of all (Papilio antimachus), 
from 9 to 12 inches in maximum expanse, is found in tropical west 
Africa. This is a curious-looking butterfly, with the fore wings 
very long and narrow. The female, which is very rare, is much 
smaller than the male, just under 6 inches in expanse. The largest 
swallowtail in America, Papilio homerus of Jamaica, nearly 7 inches 
in expanse and with very broad wings, is a member of this section. 
But this section also includes some of the smallest species of Papilio. 

A number of fluted swallowtails are more or less perfect imita- 
tions of various other kinds of butterflies. Some are imitations of 
Aristolochia swallowtails, others of milkweed butterflies or their 
allies, or of heliconians. This imitation may be confined to the 
females, or it may include both sexes, 


OUR NATIVE FLUTED SWALLOWTAILS 


Nature has treated us exceptionally well in the matter of fluted 
swallowtails, for no less than 18 different kinds occur within our 
borders—if we include Alaska. And some of these are unusually 
interesting. 


SWALLOWTAIL BUTTERFLIES—CLARK 395 


From Europe and northern Africa eastward through Asia north 
of the Himalayas to Kamchatka and Japan there lives a yellow 
swallowtail (Papilio machaon) that is also found in Alaska, Yukon, 
and Mackenzie (var. aliaska, pl. 18, figs. 78, 74), and from Hudson 
Bay to Lake Superior (var. hudsonianus, pl. 18, figs. 71, 72). In 
the northwest the butterflies resemble most closely others from west- 
ern China and the Himalayas; in the northeast they differ but 
slightly from European individuals. This is the only Old World 
swallowtail found in America. It ranges farther north than any 
other Old World swallowtail, in Europe passing the Arctic Circle. 
Also in Alaska it passes the Arctic Circle, but here it is accom- 
panied by our common yellow swallowtail (Papilio glaucus, pl. 8, 
fig. 30). 

Very similar to the European yellow swallowtail is another with 
more black upon the body and a round black pupil in the orange 
spot on the hind wing (Papilio zelicaon, pl. 18, fig. 75) that ranges 
from British Columbia to Lower California. 

Also very similar is still another, or rather one color type of an- 
other; for this particular butterfly (Papilio baiirdi, pl. 12, figs. 55-57 ; 
pl. 13, figs. 67-70) has two entirely different styles of coloration. It 
may be yellow with dark markings (pl. 138, figs. 67-70), resembling 
the European swallowtail but with a black pupil in the orange spot 
on the hind wing, or it may be black with a yellow band across 
the wings (pl. 12, figs. 55-57), closely resembling our common east- 
ern parsnip swallowtail (pl. 12, fig. 59). Five different varieties 
are recognized, three of the yellow-color type and two of the black. 
Each variety has its own special range. In some places black and 
yellow individuals occur in about equal numbers, in others the yellow 
outnumber the black about 50 to 1, and in still others, in the south, 
no yellow ones are found. 

In Alberta, Saskatchewan, and Montana there lives a rare black 
swallowtail (Papilio nitra, pl. 12, fig. 58) that is probably only an 
additional form of the preceding. 

The common black eastern parsnip swallowtail (Papilio polyxenes, 
pl. 12, figs. 59-61; pl. 13, figs. 76, 77) ranges from Newfoundland 
and Hudson Bay to Wyoming, and southward to Peru and Ven- 
ezuela. Throughout its range in the United States it is generally 
common—in many places the commonest of the swallowtails. In 
the extreme northeast the sexes are alike, but over most of the range 
they differ. Our common form (asteriws) in Central America has 
three very different looking styles of males, two, or in some places 
all three, flying about together; but the females resemble those that 
flit about over our clover fields in the Eastern States, and one of the 
three males is like our native males. All three types of males occur 
in our Southwestern States, from which, besides, two other forms 


396 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


of the butterfly (americus, pl. 18, figs. 76, 77, and stabzlis) have been 
recorded. The United States National Museum possesses specimens 
of the first from Arizona and from Texas, and of the second from 
Texas. 

In California and adjacent States, chiefly at high altitudes, there 
lives a rather scarce black swallowtail (Papilio indra, pl. 12, figs. 
63, 64), more or less resembling the preceding. It is divided into 
a northern (indra, pl. 12, fig. 63) and a southern (pergamus, pl. 12, 
fig. 64) race. 

Largest of all the butterflies found in the United States is a mag- 
nificent yellow and brown swallowtail (Papilio thoas, pl. 9, figs. 
34, 35; pl. 10, figs. 42, 43), common in tropical America but more or 
less of a visitor with us. One form of this with the yellow very 
pale (autocles, pl. 9, fig. 35; pl. 10, fig. 43) is known from Texas 
and from the Everglades in Florida. A second (nealces, pl. 10, 
fig. 84; pl. 10, fig. 42), much deeper yellow, occurs in Arizona. 

Much like this is the giant swallowtail (Papilio cresphontes, 
pl. 9, fig. 87) of the eastern States, very common in the South, a 
handsome, stately butterfly that glides easily along with occasional 
flaps of its large wings, and when feeding keeps its wings widely 
spread as if to give the entomologist a treat and at the same time 
convey a challenge. The caterpillars of this butterfly—known as 
“ orange-dogs ” or “ orange-puppies ”—often do more or less damage 
to young orange trees. 

Very similar is another kind (Papilio ornythion, pl. 9, fig. 36; 
pl. 10, fig. 44), without any yellow on the tails above, that is found 
in Texas and is more common farther southward. 

Known only from the vicinity of Miami, Fla., where it is rare, is 
a local race (ponceana, pl. 9, figs. 38, 39) of another species of the 
same general type (Papilio aristodemus) found elsewhere on Cuba 
and on Haiti. This species has also been recorded from Key West, 
but whether the specimen from Key West represents the Florida 
(ponceana) or the Cuban (temenes) form has not been determined. 

Another quite different butterfly of the same group (Papilio 
andraemon bonhotei) occurring in the Bahamas has also been 
recorded from Miami. 

The common eastern yellow swallowtail (Papilio glaucus, pl. 8, 
figs. 30, 31; pl. 9, fig. 40; pl. 10, fig. 41; pl. 12, fig. 65) is well 
known to everyone in the regions where it lives. Ranging from 
central Alaska to Hudson Bay and southward to Florida and Texas, 
it is, in most places, a common butterfly. In the eastern mountains 
and northward and northwestward it is abundant, usually far out- 
numbering the other local swallowtails. Male yellow swallowtails 
are always yellow. In the southernmost portion of the range the 
females usually are blackish brown, rarely or occasionally yellow. 


SWALLOWTAIL BUTTERFLIES—CLARK 397 


Farther north yellow females become more common, and in the 
northern portion of the range the females are all yellow. The yel- 
low females are very variable. They usually differ more or less 
widely from the males, but in some localities are exactly like them, 
or a greater or lesser proportion of the females will be like the 
males. Intermediates between the black and yellow females are rare. 
The caterpillars of the yellow swallowtail are commonly known as 
“ elephant-worms.” They feed on a great variety of different plants. 
In the north they are commonly found on apple, pear, and cherry, 
and especially wild cherry. They are seldom common enough to do 
appreciable damage. 

In the western States this familiar swallowtail is represented by 
a closely allied kind (Papilio rutulus, pl. 8, fig. 32) that is much 
the same in habits. In this both sexes are alike. 

Similar to the two preceding, but white instead of yellow, is an- 
other common and wide-ranging western swallowtail (Papilio eury- 
medon, pl. 8, fig. 33). 

In the drier regions of the west from British Columbia to Guate- 
mala lives a related sort (Papilio multicaudata, pl. 8, fig. 28; pl. 10, 
fig. 45) easily distinguished from the others by the possession of two 
conspicuous tails on each hind wing. 

The occurrence of three tails on each hind wing distinguishes our 
last swallowtail of this general type, a rather uncommon species 
(Papilio pilumnus, pl. 8, fig. 29; pl. 10, fig. 46) found from the south- 
western border States southward to Guatemala. 

Moist open woods and nearby fields and gardens form the favorite 
habitat of the spice-bush swallowtail (Papilio troilus, pl. 11, figs. 49, 
50) of the eastern States, which in certain regions is the commonest of 
all the swallowtails. The caterpillars in the South are known as 
“mellow-bugs.” They feed chiefly on spice-bush and on sassafras, 
and are sometimes locally abundant. 

Characteristic of the great swamps of the southeastern States is the 
large and handsome magnolia swallowtail (Papilio palamedes, pl. 11, 
figs. 47, 48). In those regions that are especially suited to it, as for 
instance the Great Dismal in eastern Virginia, it is very common— 
indeed, the most numerous of the swallowtails. It is rather a prosaic 
insect, flapping its steady way among the trees with a somewhat heavy 
flight, seemingly with some purposeful idea of getting somewhere. 
The caterpillars live on magnolia trees. 

The only tailless fluted swallowtail recorded from the United States 
(Papilio anchisiades idaeus, pl. 14, figs. 84, 85) is a dark dingy brown 
with a large red spot on the hind wings. It is said to have been cap- 
tured at or near Marfa, Tex. In tropical America this butterfly, in 
various forms, is very common and its caterpillars frequently are a 
serious pest on orange trees. 


398 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


THE KITE SWALLOWTAILS 


The most characteristic species of this section, such as our zebra 
swallowtail (Papilio marcellus, pl. 18, fig. 78; pl. 14, fig. 89), the 
“scarce swallowtail” of England (P. podalirius), and the silky 
white swallowtails of South America (P. protesilaus, etc.), are white 
and have the wings shaped somewhat like a paper kite. 

The caterpillars, like those of the fluted swallowtails, have the 
third segment behind the head enlarged, the body tapering very 
gradually toward the tail and more abruptly toward the head. There 
are no eye spots or oblique bands, the pattern consisting of small 
dots or several transverse lines on each segment. 

In the butterflies the antennae have a more distinct club than in 
the two other sections, and the upper side of the antennae is scaled, 
though in most species the scales readily fall off. 

The abdominal margin of the hind wings is broadened in the 
males, and usually bears a distinct scent organ. The scaling of the 
wings is often less dense than in the fluted swallowtails, the wings 
in many species becoming transparent outwardly. The bodies of the 
kite swallowtails are rigid and brittle, and most of them are easily 
killed by a slight pinch. 

The kite swallowtails are cosmopolitan, but they do not range 
so far north or south as the fluted swallowtails, and they are not so 
numerous in species as the other two sections. They also vary less 
in size, and the upper and lower surfaces of their wings differ less 
in color. The largest (Papilio payenit evan) is not over 51% inches 
in expanse, and some scarcely exceed 21% inches. Most of them are 
between 3 and 4 inches in expanse. The American kite swallowtails 
show a greater variety in structure, shape, and pattern than the 
Old World species. Some of the species, like some of the species of 
fluted swallowtails, are mimics of other butterflies. 

In their habits the kite swallowtails show less diversity than do 
the swallowtails of other groups. They are nervous, quick, and 
rather shy, with a rapid direct flight which usually is rather low. 
They live chiefly in rugged open country, or in partly wooded 
regions, but a few are forest dwellers. They are especially common 
in the scattered brush on the edges of forests and on land once 
cultivated but abandoned and grown up to brush. 

The caterpillars for the most part feed on plants of the custard- 
apple family (Anonaceae). 


OUR NATIVE KITE SWALLOWTAILS 


In the eastern portion of the United States the black and white 
striped zebra swallowtail (Papilio marcellus, pl. 18, figs. 78; pl. 14, 
fig. 89) is locally quite common. The individuals seen in early 


SWALLOWTAIL BUTTERFLIES—CLARK 399 


spring (pl. 14, fig. 89) are very small and very hairy, with a mini- 
mum of black. They keep mostly to the woods and have a fluttering 
nervous flight. Their children, appearing in the summer (pl. 18, fig. 
78), are much larger with more black and shorter hair on the head 
and body. They are likewise less energetic, with a less hurried and 
more sailing flight, and wander more widely over open country. In 
late spring or early summer a form intermediate between these two 
is found. The caterpillars feed on the pawpaw (Asiména triloba) 
and its relatives, living fully exposed upon the leaves of the food 
plant. They are solitary, though often numerous, and are especially 
prone to cannibalism. 

Much like the smallest individuals of the zebra swallowtail is a 
smaller kind (Papilio celadon, pl. 14, figs. 90, 91) living in Cuba 
that occasionally is found in southern Florida. 


THE LESS FAMILIAR SWALLOWTAILS 


Though the great majority of the butterflies belonging to the group 
of swallowtails—that is, to the family Papilionidae—are included in 
one or other of the three sections of the large genus Papzlio, a num- 
ber of different kinds vary more or less widely from these typical 
swallowtails. 

These relatives of the typical swallowtails are distributed in 12 
different genera, mostly very small—in fact, 7 of them have only a 
single species each, and 2 have only 2. Of these 12 genera one, much 
the largest, lives in the mountains of Europe, Asia, and western 
North America, where the species form a conspicuous and attractive 
element in the alpine scenery. Another is found only in the high- 
lands of western Mexico. One lives only in southern South America. 
A fourth lives in New Guinea and in north Australia, a fifth lives in 
southern Europe and in western Asia, and the rest are confined to 
Asia, one of them extending into the larger Malayan islands. 


THE DRAGONFLY SWALLOWTAILS 


From northern India and southeastern China to Java, Celebes, 
and the Philippines this last is found. It is a genus of curious 
dwarf swallowtails (Leptocircus; pl. 1, fig. 2) which, though essen- 
tially diminutive kite swallowtails, are more or less like skippers in 
appearance. There are two kinds of these, each divided into several 
different races. They have transparent, black-lined wings showing a 
stripe of white or greenish white, and the silver-edged tails of the 
hind wings are very long. An example of Leptocircus meges which 
I have before me measures 134 inches in maximum expanse, and the 
hind wings with the tails have a length of 1% inches. 

In most places in the regions they inhabit these little butterflies 
are very common. They are found in the vicinity of water, settling 


400 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


on the edges of the streams or flying back and forth in the sunshine 
over the pools and brooks with the same hurrying direct flight as 
the kite swallowtails. But on first acquaintance they look as they 
flit about more like dragonflies than butterflies. 


SOME OTHER STRANGE SWALLOWTAILS 


In northern Australia and New Guinea there lives a butterfly 
(EHurycus cressida, pl. 4, fig. 9) which, except that it is brownish 
instead of white in color, suggests a parnassian. It is very common 
in suitable localities and sometimes swarms about the flowers of the 
Eucalyptus. It is curious in having the female smaller than the 
male. The flight is direct and rather feeble. The caterpillars feed 
on Aristolochia. 

Somewhat similar are two other butterflies, one with tails and one 
without, belonging to the genus Huryades. These live along the Rio 
Parana and its tributaries in Paraguay and Argentina in southern 
South America. 


STILL STRANGER SWALLOWTAILS 


From Nepal to Tenasserim and northward to central China there 
lives a curious stout-bodied butterfly (Tetnopalpus imperialis, pl. 2, 
figs. 8, 4) that is very widely different from all other swallowtails. 
The male has one and the female two long tails on each hind wing. 
The males have a very swift flight and usually keep high above the 
ground, flying about high trees, in their actions as well as in their 
form resembling large and powerful nymphalids much more than 
they do swallowtails. The females are seldom caught. This butter- 
fly is very local and there are several local races. It lives in moun- 
tain forests usually at an altitude of between 6,000 and 10,000 feet. 

Very curious butterflies are the two species of Armandia, one, a 
large and handsome insect (Arvrmandia lidderdalei, pl. 5, fig. 14), 
living in northwestern Burma and Bhutan and thence to western 
China, the other (Armandia thaidina), smaller, occurring in Sze- 
chuan. The smaller species (A. thaidina) has three tails, one very 
long and spatulate, and two shorter ones between this and the anal 
angle. The larger (A. Uédderdalez, pl. 5, fig. 14) has still another tail 
just in front of the longest one. These butterflies fly in summer, 
sailing about with a slow and undulating flight lke that of the 
“ chost butterflies” (Hestia) high up among the tree tops, often 
permitting themselves to be carried by the wind, so that they appear 
more like falling leaves than they do like butterflies. 

From Amurland southward to Japan and westward to central 
China live the three forms of the single species of the curious genus 
Luehdorfia (pl. 7, figs. 24, 25). These are medium-sized butterflies 


SWALLOWTAIL BUTTERFLIES—CLARK 401 


with a single short tail on each hind wing, short antennae, and a 
densely hairy body. They fly in early spring, sometimes while there 
is still snow on the mountain sides. Their flight is slow and weak. 
They are usually common wherever they occur. 

From Vladivostock to beyond Shanghai and westward to Sze- 
chuan, common everywhere in the Yangtse Valley, there lives a very 
pretty butterfly (Sericinus telamon, pl. 3, fig. 8). This occurs in 
about 10 local races, in each of which the spring and summer broods 
differ from each other. All the forms of this butterfly are very 
local, but they are usually abundant wherever they are found. They 
have a slow, uncertain flight and are fond of flowers. They appear 
in spring, and again as a larger form with longer tails in the middle 
of the summer. 

Very closely allied to the species of Sericinus are the four species 
of the genus Thais (pl. 4, figs. 10, 11), which live from the Mediter- 
ranean countries eastward to Iran. These are rather smaller but- 
terflies than the preceding, with stouter bodies and scalloped, but 
not tailed, hind wings. 

These butterflies have only one brood, which appears in early 
spring. They frequent sunny slopes, especially rocky hills, vine- 
yards, and the borders of woodlands, and are locally common. In 
some places in Asia Minor they appear in enormous numbers. They 
are fond of flowers, and especially of yellow composites. Abnor- 
mally colored individuals are common, and some of these color 
aberrations are very local. 

Resembling medium-sized and highly colored parnassians are the 
very varied local forms of Archon apollonius (pl. 7, figs. 26, 27), 
which in some ways is intermediate between the species of Thais 
and the species of Parnassius. This butterfly is found from Asia 
Minor to the Caucasus and Iran, flying in early spring. Its flight 
is slow and hesitating. Like all its relatives, it is fond of flowers. 

In its size, in the shape of its wings, and in its color appearing 
much more like a pierid than like a swallowtail, though suggesting 
certain species of Parnassius, is the curious Hypermnestra helios 
(pl. 3, figs. 6, 7), which in several different forms is found in Tur- 
kestan and northern Iran. It is found in early spring on steep 
and sunny slopes, and in suitable localities it is rather common. The 
flight is slow and vacillating, and the insects often pause to feed 
on flowers. 

THE PARNASSIANS 


Next to Papilio, the largest and most important of the genera 
included in the family of swallowtails, or Papilionidae, is Parnas- 
sius (pl. 4, figs. 12, 18; pl. 5, figs. 15, 16), including the parnassians 
proper. The species of Parnasstus number slightly over 40. Nearly 


402 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


all of them are very variable locally and individually, so that many 
hundreds of local races and varieties already have been named. 

Except in the British Isles, parnassians are found everywhere in 
Europe in the mountain regions, living from moderate altitudes up 
to the highest limit of possible existence. Eastward they are found 
everywhere in Asia southward to the cold high altitudes of the 
Himalayas in northern Indian, and, passing over to Alaska, they 
occur in the mountain region of western North America southward 
to New Mexico, where 4 species and about 50 forms are recognized. 

Preeminently alpine butterflies are the parnassians, preferring the 
colder regions of the higher altitudes. In Asia they live up to more 
than 20,000 feet, or more than 334 miles, above the sea. They occur 
in the greatest variety and abundance in the Himalaya Mountains and 
thence northward to the mountains of Turkestan, Tibet, and western 
China. Here are found the largest and the smallest. The most 
beautiful are from the mountains of northern India, where alone 
these insects have two broods a year. Although parnassians live in 
the very coldest portion of the world, in central eastern Siberia, none 
of them are found so far north as the Arctic Circle, although some 
approach it rather closely in Europe, in Asia, and in Alaska. Our 
common and familiar yellow swallowtail (Papilio glaucus, pl. 8, fig. 
30) in central Alaska ranges much farther north than any of the 
parnassians, passing well beyond the Arctic Circle, and the yellow 
swallowtail of Europe, north Africa, Asia, and northern North 
America (Papilio machaon, pl. 18, figs. 71, 74) also passes the Arctic 
Circle in Europe and in Alaska. 

All parnassians are very similar in the shape and structure of their 
wings. All are of medium size or rather large. The largest are 
nearly 4 inches in expanse, the smallest about 2 inches. Most of 
them expand between 21% and 8 inches. 

In the bleak and desolate alpine regions, which they especially 
prefer, their large size and conspicuous white color make the parnas- 
sians the most noticeable of all the forms of animal life except, per- 
haps, for certain birds and an occasional alpine mammal. Even the 
most casual observer cannot fail to see them and to wonder how such 
frail creatures can exist among such harsh surroundings. 

In the strong sunshine of the late morning or the early afternoon 
parnassians are very active flying back and forth across the alpine 
meadows with a fairly rapid uncertain fluttering flight. 

They rarely rise more than a foot or two above the ground. They 
are never shy and are very easily caught either by intercepting them 
in their flight or by picking them off flowers on which they feed with 
more or less widely extended wings. As it grows colder in the after- 
noon their flight becomes more leisurely; becoming chilled, they are 
more and more reluctant to take wing. Toward evening they become 


SWALLOWTAIL BUTTERFLIES—CLARK 403 


quite torpid and inert. Some of them have the habit of flying in 
long erratic zigzags up the mountain valleys in the morning sunshine, 
and gradually drifting down again in the afternoon. 

Most of the parnassians are single brooded, but in some of the 
Indian species, as in Parnassius hardwickii, there are two broods that 
are divided into a lighter dry season form and a darker wet season 
form, and a winter form resembling the latter, all with numerous 
intergrades. 

Some of the species of Parnassius pass the winter in the egg, others 
as caterpillars, still others in the chrysalis, and some as perfect 
butterflies. 

In the State of Guerrero in western Mexico at about 4,500 feet above 
the sea lives the single species (brevicornis) of the curious genus 
Baronia (pl. 6, figs. 17-22; pl. 7, fig. 23), which is allied to the true 
parnassians, though superficially in the shape of its wings and in its 
color pattern it recalls, in a general way, some of the Asiatic milk- 
weed butterflies. This insect has short antennae with a prominent 
club, and very short legs. It is usually yellow and black, the light 
areas on the under side of the hind wings having a lovely pearly luster. 
The females are very variable. They may be like the males, but with 
the yellow ground color more extended (pl. 7, fig. 23), or the yellow 
may be replaced by dull orange (pl. 6, figs. 19, 20), or they may be 
wholly dark brown or black (pl. 6, figs. 21, 22), except for a few small 
white spots in the apex of the fore wings. 


CATCHING SWALLOWTAILS 


In a popular Italian card game, “I] matto”, or the crazy man, is 
depicted prancing about waving a net at a butterfly about the size of 
a large hawk. This is a fairly correct portrayal of the way swallow- 
tails are popularly supposed to be collected and of the popular 
appraisal of the collector. 

Collectors are of two sorts. There are those who wander about 
netting anything that may come their way in the hope of gathering 
up something of interest—after the fashion of I] matto. We can 
forget these. But there are others who know exactly what they 
want and just how to go about to get it. 

If a collector happens to want swallowtails, he first learns what 
ones are found, or are supposed to be found, or are likely to occur, in 
the region to be visited at the time when he will be there. And he 
also learns all he can about the habits of each kind. Some of them 
will be found anywhere in open country, perhaps favoring the 
wetter or the drier regions; many will occur about the borders of the 
woods or in the woodland glades; a few will live wholly in the 
woods; and a very few will seclude themselves in bogs or swamps. 

36923—36——27 


404. ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Most of our swallowtails are rather generally distributed, and in 
a favorable locality, at least in the eastern States, every local species 
will be found in greater or Jesser numbers. But in the Tropics this 
is not the case—you must search the various kinds out in their own 
special haunts. 

Sometimes it happens that of a certain kind you get only males. 
This often means that the females are to be found elsewhere, and a 
special search for them must be made. Of course, in many species 
females are far less common than the males—indeed, in quite a 
number no females ever have been captured. 

Swallowtails have four main weaknesses that greatly aid in catch- 
ing them. Practically all of them are extremely fond of flowers 
growing at a fair height above the ground. Some flowers are attrac- 
tive to all, or nearly all, the swallowtails in a given region, as, for 
instance, the lilac, the butterfly bush, and the white lantana. Other 
flowers attract only certain kinds. Thus in the east the zebra 
swallowtail (Papilio marcellus) is the only one that will visit the 
flowers on low blueberry bushes; our other spring swallowtails will 
not descend to them. Also the giant swallowtail (Papilio cres- 
phontes) seems to be the only one that appreciates the flowers of the 
trumpet vine. 

When visiting a region, therefore, the first thing a collector does 
is to locate the most likely looking gardens, and the proper flowering 
shrubs along the forest edge and in the glades and clearings in the 
woods. Often it is necessary to cut a cleared space about the flower- 
ing shrubs in and near the woods to give both the swallowtails and 
the collector freer access to them. After a number of the proper 
sort of gardens and of wild flowering bushes have been located, they 
are visited in rotation until a good series of all the local kinds has 
been secured. 

Many swallowtails, though by no means all, are extremely fond of 
sucking up water from the wet banks of streams, or from barnyard 
puddles. Our yellow swallowtail (Papilio glaucus), where it is 
abundant, sometimes congregates in hundreds on wet mud. All of 
those found on mud, at least with us, are males; the females prefer 
nectar. But well-patronized mud banks are most excellent places 
in which to secure good series of the males of many different species. 
Often after having been disturbed, the butterflies become wary and 
suspicious. Their confidence can be restored by cutting out imitation 
butterflies from paper of the proper color and placing these in ap- 
propriate positions as decoys on the mud. 

Like the epicures of old, meat-eating swallowtails like their meat 
“high.” Or, to put the matter in another way, many of the swal- 
lowtails are inordinately fond of the juices from decaying flesh. 


SWALLOWTAIL BUTTERFLIES—CLARK 405 


Dead fishes or dead snakes especially are singularly attractive to 
them. Every collector soon learns just where and how to place 
this loathesome bait in forest paths and clearings to the best advan- 
tage. 

Excrement is equally attractive to many different kinds. 

With all these weaknesses swallowtails have one virtue. They 
may drink themselves stupid and helpless on the juices from a 
highly fragrant carcass, but alcohol, so very attractive to many 
other butterflies, scarcely appeals to them at all. I have yet to see 
an inebriated swallowtail. Neither will they enthusiastically follow 
up a trail of tobacco smoke, as do certain moths. Some kinds on a 
hot day hover hopefully about collectors, but what they are yearning 
for is his perspiration. 

Rocky, exposed hilltops, especially in woods, and low, wet, open 
spots in woods and damp hollows in open fields always should be 
visited. Bare hilltops are often the playgrounds of the males of 
various kinds, and wet hollows are often the favorite haunts of 
females. Scrubby, rough country everywhere forms the chosen 
home of certain species. 

Briefly, in order to be successful in the quest for swallowtails you 
must know all there is to know about your prospective victims and 
be able to outwit them. 


EXPLANATION OF PLATES 


(All the specimens figured are in the collection of the United States National 
Museum) 


PLATE 1 


Figure 1. One of the largest swallowtails; Papilio priamus urvilleanus, female, 
from the Solomon Islands. 

. One of the smallest swallowtails; Leptocireus curius walkeri, from 
Mt. Lo-fou-shan, east of Canton, China; C. W. Howard. 


bo 


PLATE 2 


FieureE 3. Teinopalpus imperialis, male, from northern India. 
4. Same, under side. 
PLATE 3 


FIGuRE 5. Huryaddes duponchelii, from Buenos Aires, Argentina. 
6. Hypermnestra helios. 
7. Same, under side. 
8. Sericinus telamon telamon, from Seishin, Korea. 


PLATE 4 
Figure 9. Eurycus cressidad, male. 
10. Thais polyxena var. ochracea. 
11. Same, under side. 
12. Parnassius actius superbus, Narym, Turkestan. 
13. Same, under side. 


406 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Figure 14. 
15. 


16. 


FIGuRE 17. 
18. 


FIGURE 28. 
29. 


30. 


31. 


32. 


33. 


FIGURE 34. 


35. 


36. 


37. 
38. 


39. 
40. 


PLATE 5 


Armandia lidderdalei. 

Parnassius delphius var. nicevillei, from Burzil Pass, Kashmir; 
cotype. 

Same, under side. 


PLATE 6 


Baronia brevicornis, male, from Iguala, State of Guerrero, Mexico. 

Same, under side. 

Baronia brevicornis, female form ewsemna (orange), from Sierra 
de Guerrero, Mexico; Roberto Muller; type, U. S. N. M. no. 14280. 

Same, under side. 


. Baronia brevicornis, female form phronima (black), from Sierra de 


Guerrero, Mexico; Roberto Muller; type, N. S. N. M. no. 14281. 


. Same, under side. 


PLATE 7 


. Baronia brevicornis, female, from Iguala, State of Guerrero, Mexico, 


2,400 feet; June 1906. 


. Luehdorfia puziloi japonica var. takamukuana, from Tokyo, Japan. 


April 28, 1912. 


. Same, under side. 
. Archon apollonius var. bellargus. 
. Same, under side. 


PLATE 8 
(All figures one-half natural size) 


Papilio multicaudata, male, from the Huachuca Mountains, Arizona. 

Papilio pilumnus. 

Papilio glaucus, female, from Essex, Mass., A. H. Clark, July 26, 
1925. 

Papilio glaucus, female, intermediate between the yellow and black 
forms, from Silver Spring, Md., A. H. Clark, August 3, 1927. 

Papilio rutulus, from Shasta Retreat, Siskiyou County, Calif., June 
24, 1930. 

Papilio eurymedon, from Shasta Retreat, Siskiyou County, Calif., 
June 1917. 


PLATE 9 
(All figures one-half natural size) 


Papilio thoads nealces, from Arizona; H. K. Morrison. 


Papilio thoas autocles, from the Everglades, Florida, September 
1900. 

Papilio ornythion, male, from Saddle Mountain, Monterey, State of 
Nuevo Leon, Mexico; Roberto Muller. 

Papilio cresphontes, male, from Kentucky. 

Papilio aristodemus ponceana, from Miami, Fla.; type, U. 8S. N. M. 
no. 16774. 

Same, under side. 

Papilio glaucus, male, aberration fletcheri, from Bay of Islands, 
Newfoundland, July 24, 1907. 


Figure 41. 


42. 
43. 


44, 


45. 


46. 


FIGureE 47. 


48. 
49. 
50. 
51. 
52. 
53. 


54. 


FIGURE 55. 
56. 
57. 
58. 
59. 


60. 


61. 


SWALLOWTAIL BUTTERFLIES—CLARK 407 


PLATE 10 
(All figures one-half natural size) 


Papilio glaucus, female, intermediate between the black and yel- 
low forms, under side, from Washington, D. C.; William Schaus. 

Papilio thoas nealces, under side, from Arizona; H. K. Morrison. 

Papilio thoas autocles, under side, from the Everglades, Florida ; 
September 1900. 

Papilio ornythion, male, under side, from Saddle Mountain, Mon- 
terey, State of Nuevo Leon, Mexico; Roberto Muller. 

Papilio multicaudata, under side, from the Huachuca Mountains, 
Arizona. 

Papilio pilumnus, under side. 


PLATH 11 
(All figures one-half natural size) 


Papilio palamedes, male, from Virginia Beach, Va.; William 
Schaus. 

Same, under side. 

Papilio troilus, male, Manassas, Va.; A. H. Clark, August 18, 1935. 

Papilio troilus ilioneus, male, Miami, Fla. 

Papitio devilliers, from Baracoa, Cuba. 

Same, under side. 

Papilio philenor, male, Cabin John, Md.; A. H. Clark, September 19, 
1925. 

Papilio philenor, female, under side, from Cabin John, Md.; A. H. 
Clark, September 19, 1925. 


PLATE 12 
(All figures one-half natural size) 


Papilio bairdi, form bairdi, from Glenwood Springs, Colo. 

Papilio bairdi, form hollandi, from Glenwood Springs, Colo. 

Same, under side. 

Papilio nitra, from Calgary, Alberta; June 19, 1898. 

Papilio polyxenes asterius, male, from Silver Spring, Md.; A. H. 
Clark, July 24, 1927. 

Papilio polyrenes asterius, male form ampliata, from Rincon, 
N. Mex. 

Papilio polyxenes asterius, male aberration calverleyi, from New 
Lots, Queens County, Long Island, N. Y.; August 1863; type, U. S. 
N. M. no. 33968. 


. Papilio polyrenes brevicauda, from Beaver Pond, Spruce Brook, 


Newfoundland; June 21. 


. Papilio indra indra, from Colorado. 

. Papilio indra perganus, from Cazadero, Calif.; March 31, 1898. 
. Papilio glaucus, black female, from Newfoundland; July. 

. Papilio cresphontes, aberration mazwelli. 


408 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


PLATE 138 
(All figures one-half natural size) 


Figure 67. Papilio bairdi, form brucei, from Vineyard, Utah; August 24, 1931. 

68. Same, under side. 

69. Papilio bairdi, form oregonia, from British Columbia; June 12, 1898. 

70. Same, under side. 

71. Papilio machaon hudsonianus, female, from Kettle Rapids, Nelson 
River, Manitoba; July 8, 1914; type, U. S. N. M. no. 34478. 

72. Same, under side. 

73. Papilio machaon aliaska, from Alaska; June 29, 1921. 

74. Same, under side, 

75. Papilio zelicaon. 

76. Papilio polyxenes, form americus, from Arizona. 

77. Same, under side. 

78. Papilio marcellus, summer form, from Cabin John, Md.; Hugh U. 
Clark, July 29, 1928. 


PLATE 14 
(All figures one-half natural size) 


Ficure 79. Papilio polydamas polydamas, from Texas. 

80. Same, under side. 

81. Papilio polydamas lucayus, from Bradentown, Fla.; December. 

82. Papilio philenor var. acauda, from Washington, D. C.; A. H. Clark, 
May 7, 19382. 

83. Same, under side. 

84. Papilio anchisiades idaeus, from Honduras. 

85. Same, under side. 

86. Papilio arcas mylotes, male, Guapetes, Costa Rica; June. 

87. Same, under side. 

88. Papilio arcas mylotes, female, from the Zent District, Costa Rica; 
William Schaus, February 1907. 

89. Papilio marcellus, female, early spring form, from Great Falls, Md.; 
A. H. Clark, May 2, 1926. 

90. Papilio celadon, Chokoloskee, Fla. 

91. Same, under side. 

Notes.—The specimen figured as Papilio thoas nealces and said to be from 
Arizona (pl. 9, fig. 34, and pl. 10, fig. 42) would appear to be the Brazilian 
Papilio thoas brasiliensis. There is no reason to suppose that the latter would 
occur in Arizona. There is probably some mistake in the labeling. Lord 
Rothschild and Dr. Karl Jordan have called attention to a similar error in the 
ease of Dr. W. J. Holland’s figure of the same species. 

The black female of Papilio glaucus from Newfoundland (pl. 12, fig. 65) 
emphasizes the fact that in Newfoundland this species is represented both by 
the form canadensis, with both sexes alike, and by a dwarf variety of the 
southern form; between the two there are all possible intergrades. 

The author is dubious regarding the origin of the specimen of Papilio 
celadon figured (pl. 14, figs. 90, 91) ; it probably came from Cuba. 


Smithsonian Report, 1935.—Clark PLATE 1 


GIANT AND DWARF—A LARGE PAPILIO AND LEPTOCIRCUS. 


(For explanation, see p. 405.) 


Smithsonian Report, 1935.—Clark PLATE 


TEINOPALPUS IMPERIALIS. 


(For explanation, see p. 405.) 


Smithsonian Report, 1935.—Clark PEATE 3: 


EURYADES, HYPERMNESTRA, AND SERICINUS. 


(For explanation, see p. 405.) 


Smithsonian Report, 1935.—Clark PLATE 4 


EURYCUS, THAIS, AND PARNASSIUS. 


(For explanation, see p. 405.) 


Smithsonian Report, 1935,—Ciark PEATE 5 


ARMANDIA AND PARNASSIUS. 
(For explanation, see p. 406.) 


Smithsonian Report, 1935,—Clark PEATE |G 


BARONIA BREVICORNIS. 
(For explanation, see p. 406.) 


Smithsonian Report, 1935.—Clark 


LUEDORFIA, BARONIA, AND ARCHON. 
(For explanation, see p. 406.) 


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PLATE 9 


Smithsonian Report, 1935.—Clark 


35 


PAPILIO THOAS, P. CRESPHONTES, P. ORNYTHION, P. ARISTODEMUS, AND P. GLAUCUS. 


(For explanation, see p. 406.) 


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PLATE 11 


Smithsonian Report, 1935.—Clark 


PAPILIO PALAMEDES, P. TROILUS, P. DEVILLIERS, AND P. PHILENOR. 


(.) 


(For explanation see page 40 


PLATE 12 


Smithsonian Report, 1935.—Clark 


INDRA, P. GLAUCUS, AND P. CRESPHONTES. 


P. POLYXENES, P. 


PAPILIO BAIRDI, 


(For explanation, see p. 407.) 


PEATE 13 


Smithsonian Report, 1935.—Clark 


PAPILIO BAIRDI, 


P. MACHAON, P. ZELICAON, P. POLYXENES, AND P. MARCELLUS 


(For explanation see p. 408.) 


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THOSE UBIQUITOUS PLANTS CALLED 
ALGAE 


By FrLorencn HE. Meer 
Research Associate, Division of Radiation and Organisms, Smithsonian 
Institution 


[With 8 plates] 
INTRODUCTION 


The twentieth century bids fair to mark the completion of man’s 
exploration and conquest of the world. All the lands of the earth 
from the North Pole to the South Pole, the frozen ice fields and the 
densely wooded tropics, the highest mountain peaks, deepest canyons, 
and hot stretches of sandy desert have been viewed by explorers, 
travelers, or adventurers. Even the interior of the earth has been 
invaded by means of mines, wells, and caverns. The seas and oceans 
have been navigated, and divers have plumbed the mysteries of the 
ocean depths. Aviators and balloonists have flown high into the sky 
in their search for hidden knowledge. 

Wherever man has gone in his wanderings he has always found 
evidence of life—usually a type of life suited to the characteristic 
environment. There is the reindeer in the frozen north, the mountain 
goat surely climbing rocky crags, the prairie dog scuttling about in 
the plains, the huge boa gliding through the dense tropical jungle, 
barnacles clinging tightly to the rocks and cliffs by the sea, fish 
swimming in the fresh and salt waters, the mole tunneling through 
the earth, and birds flying in the air. The animal life manifests 
itself more quickly than the plant life, because of its power of move- 
ment, its size, and its possibility of being a source of danger. The 
casual observer might be inclined to estimate the quantity of animal 
life as greatly exceeding that of the plant life of the globe. Nature, 
however, always most unexpectedly inconsistent with her whims and 
surprises, seems either purposefully or otherwise to possess one great 
favorite group of plants among all her plants and animals, for she 
has placed visible and invisible representatives of this plant group 
literally in all parts of the known world. Moreover, she has simpli- 
fied the moisture, food, and light requirements of this group so that it 

409 


410 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


will be able to carry on its life processes more easily than the other 
plants and animals. Wherever the curiosity of man has carried 
him in his travels, this plant group, the algae, truly ubiquitous in 
comparison with other live forms, is growing—enormous, as the slimy 
kelps that are washed onto the seashore after a storm, or minute, as 
the slime covering the ponds, each cell or individual plant of which is 
so diminutive that it can be made visible only with a high-powered 
microscope. 


NATURE OF ALGAE 


The simplest forms of plant life, the algae, are thallus plants 
varying in size from a single microscopic cell as small as one thou- 
sandth of a millimeter in diameter to a multicellular individual 
made up of millions of cells and sometimes several hundred feet in 
length. Algae have no true roots, stems, or leaves like those of the 
higher plants with which most of us are more familiar. Instead 
of reproducing themselves by means of seeds, as is customary with 
the higher plants, these lower plants form new individuals by the 
division of a single-celled individual into two new single-celled indi- 
viduals of equal size or by the formation in a cell of the parent plant 
of spores, which, when released, develop into new plants. The 
spores may be motile or nonmotile and according to the different 
species may be produced in number from 4 to 64 or more at a time. 
The algae, like other plants, possess chlorophyll, or green pigment, 
and are thus able to make their own food from inorganic materials 
such as carbon dioxide, water, and certain mineral substances with 
the aid of light. 

The names of the five classes of algae are based upon the char- 
acteristic differences in color. These five classes are the green algae, 
or Chlorophyceae; the blue-green algae, or Cyanophyceae; the yellow- 
green algae, or Chrysophyceae; the brown algae, or Phaeophyceae; 
and the red algae, or Rhodophyceae. The brown and red algae 
contain chlorophyll, but the green pigment is masked by the other 
colored pigments associated with it. 


ENVIRONMENTAL FACTORS FOR THE GROWTH OF ALGAE 


The food or elements essential for the growth of the algae are 
the same as those necessary for the growth of higher plants. Calcium 
is not essential for many algae, but certain of them are unable to 
develop in its absence. Calcium, potassium, and magnesium are im- 
portant because their bicarbonates furnish a supplemental supply of 
carbon dioxide for photosynthesis, which is the production of sugar 
from water and carbon dioxide taking place by the action of chloro- 
phyll in light. During this process, a part of the oxygen is set free, 


ALGAE—MEIER 411 


thus providing oxygen for the respiration of animals which in turn 
throw off carbon dioxide for the plants. Algae also use nitrogen in 
the form of nitrates, nitrites, or ammonium compounds. A small 
quantity of iron is essential to their growth. Under certain condi- 
tions the nature and quantity of the available calcium, magnesium, 
potassium, nitrogen, and iron compounds have a direct influence 
upon the existing type of algal flora, just as the varying diets of 
the different races of peoples affect their characteristic appearance 
and habits. 

Light, owing to the fact that it is essential for photosynthesis, would 
seem to be an important factor in the environment of algae. But algae 
differ markedly in respect to their tolerance of light intensity, as has 
been shown by our experiments here at the Smithsonian Institution. 
Provided their food is prepared and in available form, some algae 
exist in a green condition in the depths of the earth and the ocean 
with a very small amount of light. The intensity of light that is 
available for plants growing under water below a depth of 1 meter 
decreases more or less uniformly with the depth. The turbidity of the 
water also has an effect on the quality of the light. Water absorbs 
energy in the infra-red and red region to a much greater extent than 
in the blue. As a consequence plants in clear water receive a rela- 
tively large percentage of light within the region 4400 to 5800 angs- 
troms. Most plants cannot live indefinitely in light intensities too 
low to permit sufficiently rapid photosynthesis to balance the carbo- 
hydrates used up in respiration. The depth at which the compensation 
point occurs depends on the species as well as on the quantity of light 
available. The point at which photosynthesis just balanced respira- 
tion for certain algae was found to occur from 7 to 20 meters in 
turbid water and at 30 meters in clearer water. The optimum location 
for photosynthesis in the lakes of northern Wisconsin was found to 
be at the surface on cloudy days and at a depth of about 5 meters on 
fair, bright days. The brown and green algae require higher light 
intensities for a photosynthetic balance than the red algae. The 
ability of the red algae to live at greater depths than the green or 
brown algae may be due to the fact that the red algae absorb a 
greater percentage of blue light. 

Temperature has an important effect on the acceleration or retarda- 
tion of growth and reproduction, and under exceptional conditions 
the temperature of the habitat restricts the algal population to certain 
species. 

The quantity of water or moisture necessary for algal growth varies, 
as may be seen, from the large amount required by the plants that 
live submerged in the ocean to the infinitesimal quantity at the 
disposal of the aerial algae. 


412 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


AERIAL ALGAE 


Undoubtedly the algae with which we are all most familiar are the 
aerial algae or those algae that obtain their water wholly or in large 
part from the moisture in the air. Strictly aerial algae are found 
on the bark and leaves of trees, on woodwork, stones, and rocky cliffs. 
Since atmospheric and hygrometric conditions are of vital importance 
to these algae, they must be able to survive long periods of drought 
and recover quickly when given the opportunity to absorb water again. 
Certain forms have demonstrated their ability to resist drought for 
continued long periods and have survived in a desiccator for 6 months, 
then absorbed water rapidly in their dry condition. In districts where 
severe storms are frequent, aerial algae are not numerous, as they 
are washed away from exposed woodwork and brickwork. However, 
they may be found on the ground or lower portions of the woodwork 
and brickwork where they are protected. Aerial algae usually grow 
on the shaded side of the support or substrate, but protection from 
the prevailing winds is probably of greater importance than shade. 
Certain species of the aerial alga Prasiola live only where the sub- 
strate is rich in nitrogen. They grow luxuriantly in rookeries and 
on rocks or cliffs, where they live on the excrement of birds. 

Nature is the perfect artist when left to her own devices. In her 
ardor for beauty she cunningly shrouds old broken-down fence posts, 
horse troughs, well and cistern coverings, wooden turbine conduits, 
ditches, roofs, and the detritus of barnyards with the restful and 
beautiful colors of the algae. In special honor to the whalers and 
other sea lovers buried in the old graveyards on the eastern coast 
of New England, she wreathes their dark granite tombstones that 
are cracked and almost ready to crumble with graceful masses of 
golden algae. This same alga, which, though a green alga, may 
appear with different pigmentation in accordance with the nutrient 
solution or light in which it is growing as shown by our experiments 
here, covers the red roof tiles of a hut, or sparse soil, and beech 
trees with bright yellow mats of luxuriant growth. It is a greener 
color in the shade, and in damp weather it is unusually conspicuous 
against its dark backgrounds, while on dry days it adheres closely 
to the surface of attachment. In India, the aerophilous algae 
produce alternating red, green, and black bands on the bark of 
Oreodoxa regia. The red coloration is due to Trentepohlia umbrina, 
the green to Protococcus viridis, and the black to Scytonema ocel- 
latum. Another species of 7’rentepohlia is responsible for the rusty 
coloration of cement and masonry walls. 

The Pedras Negras in Pungo Andongo in Portuguese West Africa 
receive their names from an alga that grows in black stripes on the 


ALGAE—MEIER 413 


rocks following the course of running water. A small alga gives 
the granite rocks at Rio de Janeiro, Brazil, their brown color, and 
a blue-green alga colors the lime walls of the precipices of the Rhae- 
tikon Mountains in Austria, a bright blue color. On the Tschmanin- 
Tal of the Tyrol in Austria, from 1,000 to 2,500 meters above sea 
level on the west to the southeast sides, the effect of the light in- 
tensity governs the appearance of the algae. On the outside of the 
cliffs nearest the light are the felty masses of yellow and brown 
Scytonema and blue Gloeocapsa, while on the inside of the cliffs 
away from the light the Gloeocapsa mats are colorless. On the up- 
per surfaces of stones may appear a bright orange wealth of Z’ren- 
tepohlia, while on the lower surface are colorless plants of Gloco- 
capsa. When a chemical analysis was made of the food material 
obtainable in these rocks for the algae, it was found to be as fol- 
lows: Calcium oxide, 30.67 percent; magnesium oxide, 21.49 percent; 
carbon dioxide, 47.2 percent; ferric oxide, 0.22 percent; and man- 
ganese oxide, 0.28 percent. 

On the inland cliffs of Natal, in Africa, the earliest and perhaps 
the only possible colonist was the blue-green alga Gloeocapsa san- 
guinea. On the rocks dripping with moisture is also found Stigo- 
nema, whose yellow, brown, and black threads are almost completely 
enshrouded with the red coiling filaments of Schizothriz. Other- 
wise, the cliffs are covered with black lithophilous Cyanophyceae. 
In dry weather these algae shrivel and peel off, thus restoring the 
original color of the cliffs. The algae have to withstand adverse 
conditions of drought and cold only during a comparatively short 
period on these cliffs, conditions that are not so extreme on the 
Drakensburg Cliffs as in the lower dry river valleys. 

A beautiful example of the zonation of algae on cliffs exists on 
the islands of South Orkney, Ireland. At Green Head the face of 
the cliffs that look out toward the wrecks of the sunken German 
fleet is marked with great streaks of color as if by a gigantic paint- 
brush. Lower seaward, where the waves pound against the shore 
when the sea is rough, the colors appear in big patches. At the 
top of the cliff is a black mourning frame of Verrucaria maura 
about 2 feet in depth, then below that in the following order: A 
yellowish green stripe about a foot deep of Pelvetia, a 3-foot band 
of orange-green Fucus spiralis, long straplike fronds of olive-yellow 
Ascophyllum nodosum and Polysiphonia fastigiata extending for 3 
feet in depth, dull green patches of Fucus vesiculosis, and Fucus 
serratus, distinctly green in the light though dark in the shade, 
spreads itself out over the flat stones near the low-water mark. 
Truly this is a colorful monument that nature has raised. 


414 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 
TERRESTRIAL ALGAE 


It is difficult to differentiate between aerial and terrestrial algae 
on the basis of source of water, since many of the terrestrial algae 
live below the surface of the soil. The number of soil-inhabiting 
algae is very large; some of the forms are strictly terrestrial, but 
most of the species are also known in aquatic habitats. In many 
parts of the world the terrestrial algae form a conspicuous coating 
on the soil only during prolonged rainfall, when the soil is con- 
tinually saturated with water. In middle-western sections of the 
United States, the extensive development of soil algae is restricted 
to especially rainy years. In California, there is a regular de- 
velopment of them during the rainy winter months. 

These algae usually grow on the soil in small patches, a few 
inches in diameter, a number of species in each patch. Sometimes, 
however, they cover large areas an acre or more in extent that con- 
sist very largely of a single species. The texture and chemical com- 
position of the soil determines the particular species present as may 
be seen by comparing the algae growing in a well-beaten path with 
those growing on bare loose soil next to the path. The influence of 
the chemical environment may be exemplified by the restriction of 
Zygogonium to acid soils and the development of Prasio/a on damp 
soil rich in nitrogenous matter. 

Nature reserves a utilitarian purpose that is threefold for her 
terrestrial algae. They aid in the erosion of exposed surfaces, their 
decay affords the first available supply of humus, and they provide 
a moisture-retaining substrate for the spores and seeds of higher 
plants. Microscopic green algae such as Gloeocapsa, Gloeothece, and 
Aphanocapsa in visible green masses are generally the first algae 
to appear in the colonization of rock surfaces. These algae are fol- 
lowed by filamentous mats of Scytonema, Hapalosiphon, and 
Stigonema. 

After heavy rains, as in California, the green soil-dwelling algae 
appear as if by magic on the earth. It would almost seem to a 
casual observer that they came down from the sky with the rain- 
drops. Like the aerial algae, the soil-dwelling algae are able to 
withstand prolonged desiccation. Many of these algae survive the 
dry season in a resting condition. Their cell walls become enlarged 
during the dryness, and the cell contents are thus protected in the de- 
creased center of the cell. The length of time that soil algae can 
survive desiccation is almost beyond belief, for some of them are 
able to resume growth after drying for 50 years. 

Certain algae are able to build up chlorophyll and phycocyanin 
and to grow in the dark, provided sufficient food material is avail- 
able. Green filamentous algae have been found growing on the 


ALGAE—MEIER 415 


dripping rocks among the stalactites and stalagmites in the dark 
caverns at Luray, in the Blue Ridge Mountains of Virginia. There 
is an abundance of calcium carbonates there for the nutrition of 
these algae. The only light that they receive is occasionally when 
electric lights are turned on for a short time each day as visitors 
pass through the caverns. 

The algae that grow in the soil act as agents for the transforma- 
tion of the ammoniacal substances already present into more com- 
plex organic substances. They thus aid in bringing about the 
nitrogen cycle of the soil and in keeping up the gas balance. By 
their death, the algae contribute largely to the fertility of soils in 
that they present quantities of organic material to putrefactive bac- 
teria for decomposition. They are also a source of food for Protozoa 
and worms. The mucous vestments that encase so many of the soil 
algae help the soil to retain its moisture. The subterranean algal 
flora is generally restricted to the upper 18 inches of the soil, al- 
though algae have been found at a depth of 8 feet below the surface. 


AQUATIC ALGAE 


Aquatic algae of fresh-water habit are of four general types, 
corresponding to the following habitats: Bogs and swamps, pools 
and ditches, ponds and lakes, and flowing waters. The algal flora 
growing in gelatinous masses on submerged plants and in the water 
of bogs and swamps is varied and rich in quantity. A drop of bog 
or swamp water when examined under the microscope reveals a 
fairy-like world of beautiful colors and curious forms. There appear 
miniature spheres colored different shades of green, yellow, gold, 
brown, and blue-green; sometimes there appear globes that are 
massed together or enclosed in gelatinous envelopes, little green new 
moons arranged singly and in clusters, tiny nets of green, fantas- 
tically shaped accordions, small green clubs sometimes joined together 
end to end like pieces of iron on the end of a magnet, little green 
stars, and minute masses and balls that seem spiked in all directions 
with bristles like a pincushion full of pins. In and about the drop, 
like the background of a tapestry, are beautiful straight, twisted, 
coiled, and spiral green and yellow threads. The whole drop seems 
to be in motion as the different forms dart quickly, glide gracefully 
and slowly, or jerk about in the water. Some of the balls seem to 
explode before the eye, releasing in all directions their diminutive 
green replicas. 

Many species, such as Ophiocytium which, like Proteus, is noted 
for its gift of transformation, flourish best in rain pools that be- 
come stagnant and foul in hot weather. They prosper when there 
is little aeration of the water. Ulothrix idiospora and Tribonema 


416 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


bombycinum are also peculiar in this respect. Some of the most 
beautiful microscopic species may be found in the dark, dank, rain- 
covered interiors of funeral urns in cemeteries. 

Inundated rocks in bogs and swamps give more aeration with, at 
the same time, a maximum of humidity for the growth of many 
algal forms. 

Some swamps vary in their quantity of water during the year, as 
in the spring at flood times and again in the summer when they 
may dry out until only small puddles of water are found around 
the tufts of grass and swamp plants. The algal flora changes often 
according to the quantity of water present, and in the winter time 
certain species may be found under the ice. 

Variation in the gases formed in bogs, swamps, and ponds has its 
effect on the predominance of type of algal flora growing there. 
Large gelatinous masses of green and brown algal cells are generally 
formed on the bottom of the pools and then floated up to the top by 
the oxygen developed during photosynthesis. Less oxygen is, under 
ordinary conditions, developed by the larger masses of blue-green 
algae that remain on the bottom during the whole vegetative period. 
During hot, still, summer weather, when there is little circulation 
of air about a pond or pool, the carbonic acid manufactured by 
the bacteria at the bottom of the pond is not equally distributed 
through the water, thus depriving the algae of their food. The 
blue-green algae then tend to rise to the top of the pond for better 
aeration and form a film of green or yellowish-green scum that is 
commonly known as water bloom or frog spit. 

During one summer at the Weequahic reservation of the Newark 
park system, in New Jersey, unusually large numbers of algae were 
formed in the lake. One night, all seemed to be serene about the 
lake, but the next morning at least 15 tons of dead fish had appeared. 
Bass, roach, sunfish, catfish, suckers, eels, and even a few carp were 
found floating dead in all parts of the lake, but in especially large 
numbers near the inflowing brooks. Instinct had evidently driven 
them to seek fresh water entering the lake. At the clear spring in 
the center of the lake there were some living fish. For a time the 
authorities were considerably puzzled over this mystery of the dead 
fish. Had the lake water been poisoned or dynamited? The re- 
maining live fish were gulping air at the surface of the lake. Others 
had died with their mouths open. It was finally agreed that the 
fish had died of suffocation. There was found to be an insufficient 
supply of oxygen in the lake. At a depth of 1 or 2 feet there was 
practically no oxygen. The algae were decaying and settling to the 
bottom of the lake. 


ALGAE—MEIER 417 


Meterological conditions were responsible for the tragedy. The 
weather had been extremely warm and the temperature of the water 
at the surface was 82° I. The humidity was high enough to prevent 
evaporation from the surface. There was so little wind that the 
lake was as calm as a mirror. The algae tended to rise to the sur- 
face and form a scum there. Concentrated at the surface, their 
food material became exhausted as, owing to the warm weather and 
the intense summer sunlight, the algae had developed to such an 
extent that there was not enough carbonic acid in the lake to supply 
them. The majority of algae flourishing at this time of year are the 
blue-greens, which are much less powerful oxygenators than the green 
forms. The lake was overstocked with fish, which, lacking a suffi- 
cient supply of oxygen, died of suffocation. 

A short time after the death of the fish, a breeze sprang up, then 
a heavy wind, restoring oxygen to the lake, especially to the end 
toward which the wind was blowing. With the decay of the blue- 
green algae, which to a large extent were Anabaena and Clathrocystis, 
the type of algae changed to the green forms such as Scenedesmus 
and Raphidium. These latter forms contain chlorophyll and are 
strong oxygenators. They developed with such rapidity that the 
oxygen in the water was increased beyond the point of saturation. 
Plenty of carbonic acid was then derived from the decay of the car- 
bonaceous material at the bottom of the lake, for when the water is 
in circulation the carbonic acid manufactured by the bacteria at the 
bottom of the lake is distributed through the water, giving food to 
the algae. There are always less blue-green algae in water that is in 
constant circulation. 

Just as an acre of land will support a certain plant population, a 
given volume of water will support only a certain number of plants. 
Intense light is bad for algae, but the blue coloring matter in the 
blue-green algae helps protect their green pigment, so that more 
blue-green algae are found on the surface of a lake on the hot, sunny 
days of summer, and the green algae are farther below the surface. 
Deep cold lakes of the north rarely are covered with water bloom. 

In Alberta, a report was made of cattle being killed by the water 
from a lake covered with water bloom. The owner thought that his 
slough had been poisoned with paris green when he saw the water 
covered with the oily green masses of Glocotrichia piswm, which 
gives the water an opalescent or iridescent appearance. As in other 
districts, the horses, cattle, hogs, poultry, and even wild birds were 
seemingly poisoned by the water from these lakes, the aborigines 
called them poison lakes. The algae may be the indirect cause of 
the death of the animals as seen from the example of the fish given 


418 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


above, although the real cause was probably the exhaustion of oxy- 
gen and the poisons given off by putrefactive bacteria during the 
decay of the abundance of organic matter present. 

It is hard to believe that cattle can be killed in this manner. When 
one is riding by train through the country in August and Septem- 
ber, again and again flashes upon the vision scene after scene of 
cattle peacefully resting beneath the trees and chewing their cuds 
beside the still ponds covered with apple-green water bloom, or 
frog spit, as the farmers call it. 

The common fresh-water alga Botryococcus frequently forms wa- 
ter bloom. The radially arranged green spherical cells are em- 
bedded within a tough, sometimes orange-colored mucous envelope, 
which is folded or wrinkled and frequently drawn out into irregular 
lobes or spines. The deposits formed by this alga are distinguished 
by a slow rate of decay and are sometimes responsible for consid- 
erable sapropelic accumulations (the slimy sediment of organic 
debris derived from aquatic plants and animals). Various author- 
ities believe that the Paleozoic remains (Péla, Reinschia) found in 
boghead coals are ancient allies of Botryococcus and that such coals 
were to a great extent formed by them. 

Odors of the algae may interfere with the lake as a recreational 
center. Often they affect the taste of reservoir water. Not until the 
middle of the past century was the practical significance of the study 
of organisms in water realized. Dr. Hassall, of London, England, 
was the first to call attention to the value of microscopic examinations 
in the interpretation of drinking-water analyses. About the same 
time, Ferdinand Cohn (18538), working on the Continent of Europe, 
wrote his treatise entitled “ Living Organisms in Drinking Water”, 
in which he indicated the correlation between aquatic life and water 
purity. To the Massachusetts State Board of Health belongs the 
credit of having begun as early as 1887 a systematic examination 
of all the water supplies of the State. 

Myriophylium and a number of the filamentous algae possess a 
natural odor that gives a strongly vegetable and at times almost 
fishy taste to the water. The colonies of the alga Synura give a 
strong cucumber taste to the water. Algal odors are sometimes strong 
enough to be sensed in the vicinity of reservoirs. In some cases the 
odors have been wafted by the wind for distances of a quarter of a 
mile. The decay of littoral growths of filamentous algae may cause 
objectionable odors along the shore. The odors derived from the 
exposed bottoms of reservoirs when the water has been drawn off are 
familiar to all of us, but it is not generally known that these odors 
are largely due to algae. Sometimes algae are blown inshore by 
the wind and stranded on beaches where they decay and produce 


ALGAE—MEIER « 419 


foul conditions. The “salty sea odor” so much loved is largely 
due to stranded seaweed or marine algae. 

The best way to eliminate odors and tastes produced by algae in 
lakes, ponds, reservoirs, and other standing bodies of water, is to 
control the growth of the water plants, in the place concerned. 
Numerous methods have been devised to accomplish this, some of 
which are: Reduction of the available food supply, or by so modi- 
fying the chemical composition of the water that it will not support 
large growths of algae; poisoning the organisms by the addition 
of chemicals to the water; and control of the physical factors that 
affect the growths. The use of copper sulphate as an algicide has 
become standard practice. Ordinary commercial crystals of blue 
vitriol are placed in a coarse bag or gunny sack. ‘The container is 
attached to a rope and drawn zigzag back and forth across the water 
at the stern of a rowboat. Organisms differ considerably in their 
susceptibility to copper sulphate. Some of the blue-green algae 
are destroyed by the application of only 1 part of copper sulphate 
in 10,000,000 parts of water. 

The rice fields of southern Spain and Samarkand with their irri- 
gation ditches contain numerous algae characteristic of tropical and 
subtropical flora found in sluggishly flowing water or in hard, 
strongly mineralized waters of pools and bogs (pl. 1, fig. 1). These 
algae demonstrate their ability to withstand great differences in 
temperature changes during the day. The daily temperatures vary 
in June and July from 68° to 99° F.; in August and the early part 
of September from 61° to 84° F. The increase and decrease of algal 
forms are proportional to the periodicity of the irrigation. 

In a large body of fresh water, as was found to be true in the 
central African lakes, a single sample of the algal flora obtained in 
a stated locality cannot be regarded as representative of that of the 
entire lake. Collections of algae made within a few days of each 
other from different parts of Tanganyika differ radically even in 
their dominant type of flora. It seems probable that in large lakes 
the different species of algae occur in large shoals of more or less 
limited extent. 

Algae are common in torrential brooks and rivers (pl. 2, fig. 2). 
The river may possess its own typical algal flora, or algae may 
be carried into it from springs, pools or ponds, lakes, canals, or 
tributaries. The factors governing the algal production in a river 
are the rate of flow, the detritus content, the quantity of water, 
the chemical constituents, and the temperature. Except in certain 
very large rivers, the swifter the current, the less the algae. 
As a river flows through various lakes the algae of the river are 
modified by the lake through which it passes, just as the algae 

36923—36——28 


420 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


of the lake in turn are modified by the river passing through it. 
For this reason a long river passing through country with great 
variations in the altitude and in the other factors mentioned above 
can exhibit interesting and varying algal forms in different points 
of its course. 

The algae growing in hot springs have become adapted to life 
under high temperature conditions, and some of them can live 
and grow at temperatures as high as 167° F. All these so-called 
“strictly thermal algae” are blue-green and grow within the hot 
springs as well as in the outflow from them. The best known and 
most thoroughly investigated of the thousands of hot springs in 
the western part of the United States are those of the Yellowstone 
National Park. Practically all the thermal algae are species that 
have become acclimated to hot springs and that are not found else- 
where. The waters of the hot springs are highly charged with 
soluble calcium and magnesium compounds, especially bicarbonates. 
Much of the lime deposited there results from the evaporation and 
- cooling of the water. However, most of what the geologists call 
“travertine”, or the material deposited, is due to the action of 
the abundantly present algae or their chlorophyll in consuming or 
decomposing the carbon dioxide that is present in the water and 
thus reducing the amount of calcium bicarbonate that may be held 
in solution. The precipitated lime is a byproduct of the photo- 
synthesis of the little plants. The travertine may attain a thickness 
of 2 to 4 millimeters in a week. The terraces of travertine thus 
formed are usually brilliantly covered by the overlapping layers of 
algae, which are bathed by intermittent discharges of highly 
mineralized fizz water. 

Hot springs are not the only places where the algae aid in the 
deposition of calcium carbonate. The stones of the Scottish lakes 
in winter are covered with a rich brown coating of diatoms, which 
in summer often disappears. In several lakes, its place is taken by 
a crust of grayish lime deposited from the blue-green algae. The 
same occurrence has been noted in the Swiss lakes. 

In 8 feet of water on the sandy bottom of a Michigan pond that 
is separated from Lake Michigan by a sand bar, curious hollow 
pebbles 1 to 3 inches in diameter with a stratified or concentrically 
zoned structure were picked up. Upon decalcification, these pebbles 
were found to be composed of a densely interwoven mass of bluish- 
green filaments, species of the algae Schizothrix, Stigonema, and 
Dichothriz. The colony of algae evidently starts at some point of 
attachment such as a shell and then grows out radially in all direc- 
tions, each filament independent of the others and all of them pre- 
cipitating calcium carbonate tubules. The tubules are strong enough 


ALGAE—MEIER 421 


to serve as points of attachment for other plants. The ellipsoidal 
pebble, really belonging to the vegetable kingdom, to the casual 
observer is in nowise different from an ordinary rounded pebble. 

Mar! deposits at the bottom of shallow lakes are thought to be 
almost wholly due to the action of the blue-green algae. 

Just as the Eskimos can live and prosper in the frozen north, 
so nature has equipped species of algae to live in the ice and snow. 
In the Swiss Alps, the Pyrenees, the Carpathians, the Urals, the 
Sierra Nevadas, the Andes, and in the mountains of Scandinavia 
and Greenland, where large areas are covered with eternal snow, 
these hardy little plants may be found coloring the old snow with 
a rosy tint of great beauty, or sometimes in such abundance that 
they look like blood stains. The motile stage of the algae is con- 
fined to the thawing surface. Generally they are on rather hard, 
more or less permanent snow of which the surface is somewhat 
wavy during the thawing period, and the algae are found in the 
wave troughs, which they undoubtedly accentuate because of their 
ability to absorb the heat rays. Sometimes the algae are only 
faintly visible through the upper layers of snow where they are 
about an inch or so under the surface. They are especially con- 
spicuous in large fields of soft snow where their faint tinge leaves 
bloody traces when walked upon. Mineral dusts, pollens, or seeds 
help to increase the absorption of the heat rays and prepare better 
conditions of life than exist on the quite bare surface of the snow. 
Sphaerella nivalis and varieties of Cystococcus are the algae most 
commonly known as “red snow.” <A temperature above 39° F. is 
harmful to these particular varieties. 

There are other varieties that color the snow yellow-green or 
green, though it is generally supposed that the young cells are 
yellow-green and green, and that as they grow older the haemato- 
chrome or red pigment develops and masks the green pigment. 
Various hypotheses concerning the physiological adaptations en- 
abling snow algae to grow at low temperatures have been based 
upon the storage of reserve food as fats and upon the haemato- 
chrome functioning as an absorber of heat rays. In experiments at 
the Smithsonian Institution I found that the red pigment formed 
in f{aematococcus pluvialis when the alga was exposed to intense 
continuous illumination for a month, whereas in intermittent light 
the pigment remained dark green, and in continuous darkness red- 
dish brown. The greatest amount of growth took place in the 
intermittent light, and the least amount in continuous darkness. 

The marine algae or seaweed receive the earliest mention in our his- 
tories. Humboldt relates how the Phoenician mariners came to a place 
where the sea was covered with rushes and seaweed. The seaweed is 


422 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


uncovered at ebb and overflowed at flood tide. Fucus natans, appar- 
ently floating unattached, was described by Columbus as Sargazo. In 
the North Atlantic, the sailors with Columbus, seeing great olive-col- 
ored masses of it, thought that it wasland. The mariner soon learned 
that it tails a steady wind, and thus he knew when he found it whether 
the wind had been blowing in the observed direction for some time. 
The Sargasso Sea, famous in early explorations, was named from the 
alga Sargassum, noted for its beauty and grace of form. Its lacelike 
branches are due to minute species of Campanularia, Plumularia, 
and Sertularia. Sargassum is commonly found in both the Atlantic 
and the Pacific Oceans, and in tropical and subtropical seas. 

The character of the marine algae is determined by salinity and 
temperature of the water, light intensity, and the nature of the ocean 
floor for attachment. The continued existence of the marine algae 
depends upon their ability to cope with enemies. Their greatest 
enemy is doubtless the mechanical action of the water during storms, 
after which the shore is fringed with plants ruthlessly torn from their 
places. Seaweeds are adapted by structure to yield to or to resist the 
constant action of the water. Strong holdfasts allow the long and 
flexible varieties to wave harmlessly back and forth. Stiff, low, and 
round kinds permit the water to flow over and around them. Prac- 
tically all seaweeds grow on the sides, upper surfaces, and crevices of 
large rocks and bedrocks; some grow on stones not longer than 5 
centimeters, and a few on the under side of stones. 

If sand is shifted in large amounts by water currents, it beats 
against the algae and buries and kills them. Fishes use seaweed for 
their food, and this appreciably affects the quantity of some kinds. 
Many of the larger seaweeds and corallines are protected by secre- 
tions of lime, but some fishes even eat the corallines. One authority 
studying Hawaiian fish food found that no fish is strictly herbivorous 
and the majority are carnivorous. Many eat some algae. The fish 
were divided into four groups according to their food: Plankton feed- 
ers, bottom feeders, shrimp feeders, and carnivores. Algae were found 
in the stomachs of all the groups except the shrimp feeders. 

At times, oceans receive their coloring from the algae that are 
abundant in their waters at a particular time. Some of the tropical 
marine forms are phosphorescent. A greenish-brown discoloration 
of the sand of seashores due to certain species is common after the 
tide has ebbed. 


SYMBIOTIC AND PARASITIC ALGAE 
Many algae are found living in association with specific plants or 


animals. A true symbiosis exists when each member of the pair living 
together contributes to the mutual support. The lichens are the most 


ALGAE—MEIER 423 


interesting example of symbiosis. Lichens are composed of green 
algae that live within the colorless filaments of fungi. Possibly 
neither plant could exist alone on the hot bare surfaces of rocks where 
we so often find them growing in beautiful rosettes of various colors 
and on trees. But together each helps supply the needs of the other. 
The fungi absorb and retain moisture from the air, while the algae 
by means of their green chlorophyll carry on the photosynthetic 
activity necessary for the double existence. 

Algae may grow in symbiosis with diatoms, with other algae, and 
with higher plants. In the case of the alga Anabaena cycadeae, 
growing in the roots of the higher plant Cycas, a true symbiosis 
exists. The algal cells in the nodules are soon surrounded by nitro- 
gen-fixing bacteria of the soil. The leaves of the higher plant obtain 
energy from the sun and manufacture carbohydrate food material 
not only for the plant itself but to supply the bacteria which make 
nitrogenous material available to the alga. In some cases of sym- 
biosis, the two plants, though living in close association, seem to have 
neither a harmful nor a beneficial effect upon each other. 

Codium bursa, which is found in northern seas as well as warmer 
ones, appears to harbor a flora and fauna all its own. It has a 
large spherical thallus with a fluid-filled interior cavity. When 
the thallus is ruptured, the fluid gushes forth as if under consid- 
erable pressure. This fluid is more saline than the surrounding sea 
water. Lining the interior cavity, especially near the base, is a 
reddish mucus consisting of blue-green algae (mostly filamentous 
forms), numerous diatoms, microscopic animals, and worms. Some 
of the species are peculiar to this habitat. Their reddish color is 
correlated with the feeble violet light at the depth of 14 to 40 meters 
at which they live. 

Algae also grow in one-celled animals, as the blue-green algae that 
color amoebae and other Protozoa. They also grow in symbiosis 
with small marine animals, mollusks, and insects. One species of 
Rhopalodia grows in thick, yellow-brown, matted masses on the back 
of a beetle, Lémnogeton, on tropical lake shores. 

Most people are familiar with the term “ mossback ” as applied to 
the common snapping turtle, or perhaps have noticed turtles covered 
with green “moss.” In reality, this green moss is a mass of green 
algae. The shell of the turtle and the mud that settles upon it make 
an excellent habitation for aquatic green algae, while in return for 
their ideal living conditions they render the turtles as inconspicuous 
as old rotten logs. Turtles have been seen with filamentous algae 
attached to their shells sometimes in tassels fully twice as long as 
the turtle. As the turtle swims along, the green filaments trail out 
behind it in a most attractive manner. In general, the algae found 


424 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


decorating the backs of turtles belong to the two species Basicladia 
crassa and Basicladia chelonum. 

Algae grow commonly on the long, thick hairs of the dense coat of 
the three-toed sloth in the Tropics (pl. 2, fig. 3). This animal loves 
the coolness and the shade, which it seeks in the tops of trees, thus 
furnishing ideal conditions for the bright green algae growing on the 
hairs and helping to conceal it among the leaves. Large numbers of 
minute microscopic unicellular algae grow in dense colonies in the 
crevices of the elongated scales that, under the microscope, are seen 
to lie singly overlapping the hair shaft. Two genera of algae have 
been described that grow on Bradypus, the three-toed sloth, and on 
Choleopus, the two-toed sloth; they are the green alga Trichophilus 
welckert and the red alga Cyanoderma bradypodis. Here at the 
Smithsonian Institution, in the collection of skins of the division of 
mammals in the United States National Museum, I have abserved 
the algae in a dried green condition on hairs of sloths from Costa 
Rica that were killed 60 years ago. 

Algae may also cause harm or injury to the plants or animals on or 
within which they are growing. The alga Wostoc penetrates through 
the stomata of the tissue of certain liverworts, then breaks up and 
destroys the neighboring cells of the host plant as it makes its exit 
through the tissues of the host. Mostoc also grows in the spiral fila- 
ments of Sphagnum moss. Hydrodictyon, the alga commonly known 
as the water net, has been found about an unlucky dead fly, which it 
had undoubtedly entrapped. Filaments of an Oscillatoria have been 
found growing within the intestinal epithelium of the carp; also 
colorless algal parasites have been found in the caecum of the guinea- 
pig, the pharynx of the hen, the mouth of the horse, pig, sheep, and 
goat, and in the intestines of man. As an adaptation to parasitism 
these algae lose their chlorophyll, since their food is supplied them in 
the desired form without the necessity of their manufacturing it 
themselves. 

The great fondness of some algae for calcium makes all shell- 
bearing animals open to attack from the calcareous or perforating 
algae. Often on the seashore, we find shells covered with little gray 
and green spots like the spotted petals of the guinea-hen flower. 
These little spots are not only on the surface of the shell but extend 
deep into it until the shell sometimes is corroded completely by the 
ramifications of these calcium lovers. The same alga, Siphonocladus 
voluticola, often responsible for this destruction, is found in both 
salt water and fresh water. 

These perforating algae are found from the cold seas of the north 
to the extreme south of Cape Horn, in all the European seas, on the 
eastern and western coasts of America, and in the Tropics of Africa, 


ALGAE—MEIER 425 


Asia, and America. They perforate calcareous substances of all 
sorts from the Bryozoa and the tubes of worms to the strongest 
rocks. They are responsible for the blue and green spots on the cal- 
careous rocks of the coast, spots that may extend to 50 meters in 
depth. They are especially common in the superficial layers of the 
zone inundated by the waves of the sea, where they work in concert 
with perforating animals such as sponges and mollusks. 

Not only animals, but calcareous algae such as Lithothammnion 
undergo attacks from perforating algae. In the rivers of north- 
west Russia the dissolving action of the perforating algae is exer- 
cised not only on calcium carbonate, which they transform into 
bicarbonates, but also on magnesium carbonate. This often accom- 
panies calcium carbonate in mollusks and corals. The perforating 
algae have a very ancient origin, dating back to the Silurian epoch, 
as shown by evidences of their presence in fossil mollusks and 
fossil bones of animals. 

The coral reefs of the Red Sea, Ceylon, Java, and the Bahama 
Isles have suffered from the destructive work of the perforating 
algae. They invade not only the debris and the coralline sand but 
also blocks detached from the banks and the coral reefs. The lower 
part of the coral is often pierced by a whole canal of Ostreobiuwm 
reineket, which will bring about the rupture of the coral in this 
place by the shock of the waves. It is certain that perforating 
algae contribute to the formation of the atolls in taking part in the 
destruction of the central part of the coral banks. It has also been 
suggested that the factors controlling the depth at which reef-build- 
ing corals can live may be determined by the suitability of the 
conditions for the photosynthesis of the algae associated with the 
coral formers. 

ALGAE GROWING IN A VACUUM 


Since algae grow in the soil, on the ground, on plants and ani- 
mals, in the water, in the air—in short, in every conceivable natural 
habitat—two scientists wondered if possibly they might grow in a 
vacuum. Consequently they selected 48 species of the simplest forms 
and, supplying them with a suflicient amount of nutrient solution, 
placed them in a hermetically sealed bell jar from the inside of 
which all traces of oxygen and carbon dioxide were removed. They 
placed the bell jar in artificial hght for 40 days. Of the 48 species, 
10 were incapable of developing in these conditions, but their growth 
subsequent to the removal of the bell jar proved that they had not 
_ perished. Thirty-eight species developed in the vacuum. Those 
algae that withstood the conditions especially well were aquatic 
species. The vacuum prevented the production of chlorophyll, 
starch, carotin, and xanthophyll. 


426 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


DISPERSAL OF ALGAE 


The distribution of similar species of algae in widely separated 
geographic areas can be explained by the adaptability of algae to 
various modes and methods of transportation. Possibly one reason 
algae are so cosmopolitan is that they are good travelers and ready 
to seize every opportunity for making a voyage. It is generally as- 
sumed that the vegetative cells of algae cannot survive desiccation 
and would perish during transportation through the air. Recent 
studies on the viability of algae in desiccated soils have shown, how- 
ever, that many algae that have withstood desiccation for years 
have no sporelike stages. It is probable that dissemination of vege- 
tative cells is of far greater importance than that of spores. 

Streams assist greatly in the transportation of algae. The distri- 
bution of many species of marine algae is due to the ocean currents. 
The two major agencies of transportation are birds and the wind. 
The swimming and wading birds, such as sea gulls and ducks, carry 
the algae in the half-dried mud on their feet. Lodging among the 
feathers of the birds, the algae are carried about with them also. 
Migratory aquatic birds carry algae from one lake to another. Re- 
cent airplane and Zeppelin studies of the spores contained in the 
air have shown the presence of algal cells in the air above the plains 
as well as over the cold stretches of Labrador and the great ice cap 
of Greenland. Many algae have been found among the mineral 
particles and diatoms*carried in the great dust storms of the north- 
west that have left the snow tinged with a grayish coating. Dust 
clouds originating in Arizona and New Mexico or in the western 
portion of the Great Plains of the United States have been known 
to travel east of the Mississippi River before falling to earth. 
Among the dust particles the algae are thus carried more than a 
thousand miles from their native habitats. The rain aids in 
washing the spores of algae to places far from the parent cell. The 
presence of many species of algae common to the southern and west- 
ern coasts of Australia on the Atlantic and Mediterranean coasts 
can be explained by the fact that they were carried there by ships. 
In the case of Asparagopsis armata, the hooks and organs of perma- 
nent attachment, which are barbed branches, fasten themselves on 
parts of the ship. Often when tropical higher plants are introduced 
to aquaria, they bear in their leaves small algae that adapt them- 
selves to their new environment. At Kew Gardens, in England, 
many species from South America and Egypt have been introduced 
in this manner. 

USES OF ALGAE 


Some of the uses of algae have already been mentioned. Probably 
one of the greatest uses is as food for fishes. Fishes are dependent 


ALGAE—MEIER 427 


upon algae as direct or indirect sources of the oils and vitamins of 
their food and energy. In turn, through the game fishes, the algae 
constitute indirect sources of food and energy for the human race. 
One scientist studied the algae in 5 ponds by making a collection 
and investigation of the intestinal contents of 100 tadpoles in each 
pond at 4 different intervals during a year. At the same time the 
tadpoles were collected, an equal number of pond collections were 
made. From all the pond collections and tadpoles, 170 species of 
algae were obtained. In every case except two (in these they were 
equal), the number of species obtained from the tadpoles exceeded 
those obtained from the pond collections. This was noticeably true 
when the ponds involved were large. ‘These results indicate that the 
algae found in the intestinal tract of the tadpoles serve as a reliable 
index to the algae of ponds from which the tadpoles were taken. 

On the Pacific Coast marine algae such as Laminaria japonica are 
used for the manufacture of iodine. Gelidiwm cartilagineum is har- 
vested on southern and Lower California shores and converted into 
an improved and purified grade of agar at San Diego. The chemical 
and physical properties of agar make it applicable to industrial use 
as a thickener or jelly producer. It is used extensively as a culture 
medium in bacteriological work, for sizing cloth, and to make candy, 
breakfast foods, and fancy jellies. Agar is imported from Japan to 
the United States in large quantities. The Japanese agar is made 
from various species of Gelidium, Gracilaria, and Eucheuma. The 
large kelps possess a high percentage of potassium salts, so that when 
the foreign supply of potash was cut off during the World War, 
several firms under Government subsidy harvested great quantities 
of kelp and produced the needed chemicals, but with the end of the 
war the business gradually declined. At the present time there are 
two concerns using kelp in California. One of these produces chemi- 
cals and fertilizer, the other makes products which are marketed for 
human consumption, for stock feed, and for fertilizer. The four 
species of kelp used commercially in California are Macrocystis 
pyrifera, Nereocystis luetkeana, Pelagophycus porra, and Alaria 
jistulosa. 

As food for human consumption, seaweeds have long been in use in 
various parts of the world. The Chinese and Japanese, in their con- 
tinually losing race between their population and food supply, culti- 
vate various forms of algae for food. The Chinese use a great deal 
of seaweed, and for the past 40 years they have gathered seaweed on 
the California coast for export to China. The only local seaweed 
utilized directly as human food today is Porphyra perforata, which is 
found on the Pacific coast from the State of Washington to Mexico. 
It also furnishes food for the abalone and the sea slug. 


428 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


CONCLUSION 


Just as the higher plants vary in size from the tiny chickweed to 
the oak tree, so we have found a variation in algae from the micro- 
scopic unicellular Cystococcus to the giant kelps of the ocean. The 
number of species is legion. It would require too much space to 
explain how the life cycle of the algae shows almost every conceivable 
variant. Algae exhibit an enormous range in structure, reproduc- 
tion, and life history. They include the simplest unicellular forms 
as well as elaborate multicellular organisms displaying a considerable 
measure of division of labor. Perhaps nature was experimenting 
with this cosmopolitan group of plants, as she placed them in every 
type of environment. Possibly she learned from them how best to 
construct her more uniform and more complex group of higher 
plants. 

Notr.—Owing to its considerable size, it was found necessary to omit the 
list of literature consulted in writing this article. 


The specimens of algae shown in plate 4, figure 2, and plates 5-8 are in the 
United States National Herbarium. 


Smithsonian Report, 1935.—Meier PLATE 1 


1. A wide temperature variation produces an interesting group of algae in the rice fields when covered with 
water and at other times in the irrigation ditches near Valencia, Spain. 


Courtesy of Dorothy Meier. 


2. Marine algae can always be collected on the rocks and sands of seashores after storms. 


LAs 2 


Smithsonian Report. 1935.—Meier 


Courtesy of Dorothy Meier. 
1. The stones of the old Roman aqueduct, known , Pee s : 
2. Visible and microscopic algae grow on the 


as the Bridge of the Devil, in Tarragona, Spain, me 7 ; : 
are spotted with patches of aerial aleae. stones and in the waters of brooks in the spring 
and summer. 


Courtesy New York Zoological Society. 


3. Microscopic algae growing on the hairs of the three-toed sloth make it bright green in color. 


Smithsonian Report, 1935.—Meier PLATE 3 


A photomicrograph of a tiny portion of the green algae in a small drop of water from a fountain. IFS. 


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suljouro1d-Y] MOIS ‘UOLLeIpPBa ‘sIsayJUAsSOjoYyd 04 


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‘Le Ajoyeurxolddy & "JITB) {USILINU UO SUIMOIS ‘DpNDIIUpONnhD snusapaUag 
‘Sajesuy Soy uloly ‘MOUNIY) DUDIbUIZ}oNyY DLOYdOpdD]) ‘BSB UVdls VW °% ‘va[B Uses Av[ny[jeolun vw jo aImyyno sind yy ‘T 


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Smithsonian Report, 1935.—Meier PLATE 5 


fen if 

NN AK i h\ > 
mas NY 

HL #4 

M4 ny 4 


a. 


*: 


1. A marine red alga, Porphyra laciniata Ag., from Nahant, Mass. »& Approximately °%. 
2. A lichen, Rhizocarpon alpicolum (Wahl.) Rabh., growing on stone from the White Mountains, New 
Hampshire. XX Approximately 5%. 
3. A lichen, Rhizocarpon calcareum (Weis.) Anzi, growing on stone from Labrador Natural size. 
4. A marine red alga, Ptilota pectinata (Gunn.) Kjellm., from the New England coast. Natural size. 


Smithsonian Report, 1935.—Meier PLATE 6 


1. A marine green alga, Caulerpa racemosa var. occidentalis (J. Ag.) Bérg., from Bermuda. 
x Approximately °7. 


2. A marine red alga, Ceramium ciliatum (Ellis) Ducl., from the coast of England or Scotland. Naturalsize. 


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THE BOULDER CANYON PROJECT 


By WeESLHY R. NELSON 
Associate Engineer, Boulder Canyon Project 


[With 10 plates] 


From the year 1537, when the caravels of Francisco de Ulloa, a 
lieutenant of Cortez, attempted passage up the Colorado River from 
the Gulf of California only to be turned back by the river’s bore, an 
unending battle has been waged to bring the Colorado under man’s 
control. 

Born in the melting snows of the Rockies of Colorado and Wyo- 
ming, and receiving sustenance from tributaries in southwestern 
States, the river has cut its way for millions of years through all the 
obstacles raised in its path to the sea. The mile-deep chasm of Grand 
Canyon, the sheer cuts through mountain ranges at Boulder and Black 
Canyons, and the delta thrown entirely across the Gulf of California, 
forming the Imperial Valley, attest the great power of this erosive 
agent. 

For most of its 1,700-mile journey, the Colorado flows through 
lands that are incapable of producing crops, owing to insufficient 
rainfall in the growing season. Summer rains in the lowlands are in 
the nature of cloudbursts, and in many cases are a detriment rather 
than an aid, owing to the wearing away of the land. The river’s 
flow is very erratic and difficult to forecast. Heavy rains may cause 
floods in any month of the year, but high water of 100,000 or 200,000 
cubic feet per second flow usually occurs in the spring and early sum- 
mer, and the river is at its low state of 3,000 to 4,000 cubic feet per 
second from September to February. 

At first the river’s conquest was considered in terms of navigation. 
History reports that Hernando de Alarcon in 1540 conquered the 
swift running waters at the mouth of the river, where the struggle 
between Gulf tide and river current defeated de Ulloa, and ascended 
the river a hundred miles upstream to the present location of Yuma, 
Ariz. In later years, frontiersmen in search of good hunting, gold, 
and homes sought to travel downstream on its waters and thus avoid 
the hazardous and laborious journey overland through cold moun- 
tain ranges, hot arid desert, or unfriendly Indian country. A few 

429 


430 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


succeeded, but many lost their boats and even their lives in the swift, 
treacherous rapids that are scattered the full length of the river 
wherever cloudbursts in side canyons have thrown rock barriers 
across the river channel. The members of the Church of the Latter 
Day Saints established homes and settlements in the Salt Lake Val- 
ley of Utah, and in their endeavor to build a southwestern empire 
sought an outlet to the Pacific Ocean down the Colorado. Their ef- 
forts met with some success, but these plans and others of similar 
nature were abandoned when the gap in the transcontinental railroad 
was closed at Ogden, Utah, in 1869, providing safe and rapid trans- 
portation to the East and West. 

As the lands became settled along the Colorado and its tributaries, 
the waters were diverted into canals and used for the irrigation of 
crops. In the upper reaches, the irrigation projects were successful, 
but serious trouble soon developed in the irrigated lands of Arizona 
and California, particularly in the Imperial Valley, 150 miles south 
of Los Angeles. 

Here in the basin cut off from the Gulf of California by the 
delta of the Colorado River was an ideal spot to grow many kinds 
of fruits, vegetables, and cereals, for the temperatures were nearly 
tropical, the growing season was 12 months in the year, a nearby 
market was furnished by the cities of Southern California, and 
water could easily be secured from the river channel on the silt 
delta 200 feet or more in elevation above the farms. Considerable 
trouble was caused by the silt deposition in ditches and canals, and 
the low flow of the river in the fall and winter months did not 
provide sufficient water for the rapidly growing demands of new 
farms. However, more and more land was placed under cultivation, 
and cities began to rise in the valley—when the Colorado struck 
again in characteristic fashion. 

In the year 1905, an unprotected canal heading offered the op- 
portunity, the river turned from its course, deep canyons were cut 
across fertile farms, railroads were destroyed, and inundation of the 
entire valley was started. Attempt after attempt to stop the flow 
failed as the river cut through the soft silt around obstacles placed 
in its path. The Southern Pacific Railroad took over the battle, rock 
was hauled by train loads and dumped into the gap, at times tracks, 
train, and load disappeared beneath the muddy waters, but finally, 
18 months after the break, the struggle was won. The river was 
turned back into its original channel, and the inhabitants of the 
valley could once more resume their normal mode of life. The cost 
of the unfortunate episode ran into the millions and has never been 
accurately calculated, but a lesson was gained by the valley dwellers 


BOULDER CANYON PROJECT—NELSON 431 


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GENERAL LOCATION OF BOULDER DAM, ALL AMERICAN CANAL, AND RELATED PROJECTS 
FIGURE 1, 


432 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


that stood them well in the following battles with the river, and 
the event focused attention of the State and Nation to the need for 
lower Colorado River control. 

On several later occasions the river threatened to break through 
the dikes, and of the 150 miles of levees that have been built to hold 
the Colorado in its channel only one-third now remain. Thus the 
struggle with silt and flood has continued, while ever in the back- 
ground has hovered the dread spectre of drought. Only a high 
dam and huge reservoir could successfully control the river, but the 
cost was too great to be borne by the lands directly benefited. 

Aid, however, was not far away. Man has ever traveled westward 
in the settlement of our country, and in southern California, where 
the slopes of the Pacific are bathed in the warm winds of the Japa- 
nese current, he had found a land much to his liking. The large 
ranches and presidios of the Spaniards were transformed into smaller 
towns and farms. Towns grew to cities, and these, under the im- 
petus of vigorous advertising and an aggressive community spirit, 
often doubled in population each year. Water for domestic use was 
brought by steel and concrete lines fom mountains hundreds of miles 
away, hydraulic and steam plants were built to supply the needs 
for power and light, until, finally, the continued growth required 
greater supplies of water and power. Here then lay the solution of 
the problems confronting both the Imperial Valley and southern 
California cities, for the Colorado River could be harnessed to supply 
water and electric energy, while the same curb would restrain the de- 
structive forces of flood, silt, and drought. 

Equitable allocation of the river waters between the States of the 
Colorado River Basin, the location of a suitable dam site, and the 
actual financing of the project construction were the next obstacles 
presented. 

As mentioned before, most of the lands in the Southwest require 
irrigation for the raising of farm produce; consequently, the streams 
are its very life blood, and it was to be expected that the distribution 
of the Colorado River waters passing through several States would 
involve much dispute. The Colorado River Commission, composed 
of representatives of the seven States of the Colorado River Basin— 
Arizona, California, Nevada, New Mexico, Utah, Colorado, and Wy- 
oming—was formed to discuss the matter. After several meetings, 
the State commissioners, with Secretary of Commerce Herbert 
Hoover as the United States representative, gathered in Santa Fe, 
N. Mex., in 1922, and there framed the Colorado River compact 
whose primary provisions were as follows: 

1. Division, for reference, of the Colorado River Basin into the upper basin 
and lower basin, the dividing line being at Lee’s Ferry a mile downstream from 


BOULDER CANYON PROJECT—-NELSON 433 


the Paria River confluence. Thus the upper basin includes parts of Arizona, 
Colorado, New Mexico, and Utah, while the lower basin contains parts of 
Arizona, California, Nevada, New Mexico, and Utah. 

2. Consumptive use of 7,500,000 acre-feet of water per annum was apportioned 
to each basin and, in addition, the lower basin was given the right to increase 
its consumptive use by 1,000,000 acre-feet per annum. 

3. The upper basin States were not to deplete the run-off below an average 
of 75,000,000 acre-feet in 10 years, and the lower basin States were not to re- 
quire the delivery of water which could not be reasonably used, 

4. The use of the river for navigation should be subservient to the use of its 
waters for domestic, agricultural, and power purposes. 

5. The compact should not be binding until it was approved by the Congress 
of the United States and by the legislatures of the seven basin States. 

All State legislatures, excepting Arizona, later ratified the com- 
pact, but not before many years of disputes. 

Investigations of the Colorado River for suitable dam sites, lead- 
ing to the ultimate and complete development of the river’s re- 
sources, have been in progress under the direction of the Depart- 
ment of the Interior through the Bureau of Reclamation since 
this Bureau was established by the Reclamation Act (ch. 1098, 32 
Stat. 388) during the term of office of President Theodore Roose- 
velt. In the lower basin, the principal dam sites were early recog- 
nized to be at Black and Boulder Canyons. These two narrow 
gorges are located on the Arizona-Nevada boundary, Boulder Can- 
yon being immediately downstream from the Virgin River conflu- 
ence, and Black Canyon 20 miles farther downstream. Bright 
Angel Crossing in Grand Canyon is 270 miles upstream from Black 
Canyon, and the Gulf of California 450 miles downstream. 

Geologic and topographic surveys were made of the two dam 
sites and their reservoir areas starting in 1919, and examinations 
of foundation conditions by diamond drilling were conducted at 
Boulder and Black Canyons from 1920 to 1923. Owing to the haz- 
ards in flood periods and the unbearable living conditions, where 
shade temperatures of 130° were often noted in the reflected heat 
from the canyon walls, drilling was done primarily in the fall and 
winter. Nevertheless, on more than one occasion drill barges were 
wrecked by sudden floods and drift wood, cloudbursts washed away 
the roads leading to the camps, and high winds leveled their tents. 

Data obtained from investigations by the Bureau of Reclamation 
on the Colorado River were compiled in 1924 by Chief Engineer 
F. EK. Weymouth and submitted to Secretary of Interior Hubert 
Work in eight volumes entitled “The Problems of the Colorado 
River.” Preliminary plans and estimates were made of dam sites 
located at numerous positions along the river and particular em- 
phasis given to a projected high dam at Boulder or Black Canyon. 
It is interesting to note that the preliminary estimate of $120,000,000 


434 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


for this latter dam is now expected to be within 1 or 2 percent of 
the actual expenditure. 

Congress was petitioned by Secretary Work to commence con- 
struction of the high dam, but several years of legislative disputes, 
both State and National, intervened before the Swing-Johnson bill 
became the Boulder Canyon Project Act (ch. 42, 45 Stat. 1057) and 
was signed by President Coolidge on December 21, 1928. Important 
qualifications in the act were: 


1. The purposes of the construction were flood control, improvement of 
navigation, and storage and delivery of water for irrigation and domestic 


uses. 
2. Appropriations were to be made not to exceed $165,000,000, of which 


amount $126,500,000 were allotted to the dam and power plant, and $38,500,000 
for the All-American Canal to the Imperial Valley. 

3. No appropriations were to be made until contracts for power were signed, 
providing for repayment within 50 years of all charges, and interest, for 
construction of the dam and power plant. 

4. Expenditures for building the All-American Canal were to be repaid by 
the landowners on a prorated basis of the acres of land receiving water. 

5. All of the seven States of the Colorado River Basin were required to 
ratify the Colorado River compact, or, if this were not done in 6 months, the 
compact was to be ratified by California and five other States, before con- 
struction could proceed. 

6. California was to agree that the use of water iu that State from the 
Colorado River should not exceed 4,400,000 acre-feet, plus not more than one- 
half of any excess water unapportioned by the compact. 

Conferences were called by Secretary of Interior Ray Lyman 
Wilbur with all parties interested in obtaining electric power from 
the power plant, and as a result, contracts were signed with the 
city of Los Angeles, Southern California Edison Co., and the Met- 
ropolitan Water District of Southern California, whereby all con- 
struction charges, and interest, would be repaid within a period of 
50 years after the first power was generated. Allocations of firm 


power were: 


Percent 
State of Arizona Hey te Ae ete ee SO ee oa Sera Eee 18 
States Of (Neva dae ss. vee tees ue ot eek oe ee ae 18 
Metropolitan {Wailer DIStT CES 2 see ee eee ee ee 36 
Smaller (municipaliticS=--2-. Ses. 2a S02 eee 6 
City: of; os “Angeles. 2 See en JE IE 6 ee eee 13 
SOwlHoeraaCOtuburgrasiy ID Ohso mn (CMs sk 9 


All secondary energy was allocated to the Metropolitan Water 
District. Firm power available throughout the year was to be sold 
to the contractors at generator voltage for $0.00163 per kilowatt- 
hour and secondary power, available when reservoir conditions per- 
mitted, at $0.0005 per kilowatt-hour. 

All State legislatures, except Arizona, ratified the Colorado River 
compact, and on July 3, 1930, President Hoover signed the second 


BOULDER CANYON PROJECT—-NELSON 435 


deficiency bill, making $10,660,000 available for commencing construc- 
tion of a dam at Boulder or Black Canyon. A board of consulting 
engineers reviewed the attributes of the two sites and agreed with the 
engineers of the Bureau of Reclamation that the location in Black 
Canyon should be adopted. The principal reasons for placing the 
dam there were that geologic conditions were better, the depth to bed- 
rock was less, and a dam of smaller dimensions would provide the 
same reservoir capacity. Furthermore, the distance to power markets 
was not so great, and transportation facilities to the project could be 
provided at less cost. 

Fundamentally, the problem presented to the engineer in order to 
gain control of the Colorado was the placing of a high barrier across 
the stream which would create a storage basin of sufficient magnitude 
to stop the river floods, store the spring run-off for all-year utilization, 
and provide a huge silt pocket. This latter feature was required to 
be of a type that would not interfere with the production of power or 
destroy the efficiency of the reservoir. The power plant was also 
required to be constructed of a capacity adequate to pay all costs of 
construction from the sales of electrical energy produced by the 
generators. 

After much study, it was determined that these requirements 
could be most successfully and efficiently fulfilled by building the 
dam to store 30,500,000 acre-feet of water and erecting a power- 
house immediately downstream of 1,835,000-horsepower capacity. 
Protection of the dam and powerhouse from reservoir overflow would 
be provided by two spillways, whose outlets would be through tun- 
nels around the dam, and normal regulation of the reservoir and 
the furnishing of water to the powerhouse turbines would be secured 
by four penstock and outlet systems. Each of these latter systems 
would consist of an intake tower equipped with two gates and lo- 
cated in the reservoir immediately upstream from the dam, and a 
system of steel pipes in tunnels leading from the tower base to the 
power plant or past the powerhouse to needle valves in outlet works. 

Building a dam in Black Canyon offered so many obstacles that 
many claimed the project was not feasible, and that, in fact, its con- 
struction could not be accomplished. A few of their arguments were 
that the geologic conditions at the canyon were not right for so large 
a dam; transportation across deserts and down 800 feet into the can- 

yon was too difficult for the moving of millions of tons of materials 

that must be placed in construction; the site was in the middle of 

the desert where men could not work in summer, owing to the ex- 

treme heat; no contracting company would risk bidding on so large 

a job where building conditions were so difficult; the river could not 

be controlled while the dam was being built; a dam of the size pro- 
36923—36——29 


436 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


posed had never been built, and its great magnitude presented prob- 
lems which could not be solved; and the river silt would fill the res- 
ervoir in a short time or would destroy the gates, valves, and tur- 
bines if allowed to pass through them. 

Geologic examinations, channel drilling and tunneling into the 
dam abutment during the preliminary investigations had shown the 
rock to be satisfactory, and the later excavations for construction 
verified this conclusion. In the following paragraphs, descriptions 
will be given of the manner in which other questions were answered. 

Primarily on account of its inherent safety features, the dam 
selected to be built in Black Canyon was one of arch gravity type 
in which the thrust of the water is taken first by its weight 
(6,500,000 tons) and, secondly, by the arching action upstream. 
To provide the necessary reservoir storage with this type of struc- 
ture, the required dam would have a height of 726 feet (nearly 
that of the Woolworth Building in New York); a base thickness 
of 660 feet (more than the length of two ordinary residence blocks) ; 
a crest whose thickness is 45 feet and length 1,282 feet—on which 
a highway has been constructed; and contain 3,250,000 cubic yards 
of concrete (a greater volume than that of the largest Egyptian 
pyramid). 

Owing to the large dimensions of the dam and the enormous 
volume of concrete to be placed, the problem of temperature stresses 
within the concrete became one of great importance, and much re- 
search and study were conducted by Bureau of Reclamation engi- 
neers before a practical solution was reached. Concrete would be 
poured in the dam during the summertime at a temperature above 
100° F. and another approximately 40° F. would be added by the 
chemical heat of setting. If allowed to cool by natural means, the 
temperature of the dam would not be lowered to that of the air 
and water surrounding it for a period of as much as 150 years. 
During this time, cracking would occur due to contraction of the 
concrete. 

The dam was, therefore, designed and built as a group of 230 
interlocking vertical columns varying in size from 25 to 60 feet 
square. Steel tubing of 1 inch diameter was installed in the con- 
crete at approximately 5-foot intervals, both vertically and hort- 
zontally, and water at a temperature as low as 30° F. circulated 
through the concrete of the dam. Thus the entire mass of the dam 
was cooled to predetermined temperatures ranging from 43° to 
72° F. in a period of 19 months. 

As planned, the contraction of the concrete due to cooling caused 
the columns to separate. These openings were filled with a water- 
cement grout as soon as cooling was finished. Consequently, as the 


BOULDER CANYON PROJECT—NELSON 437 


concrete expanded, due to its increase in temperature to that of the 
surrounding medium, the concrete was placed in compression and 
the possibility of future cracking eliminated. Cooling tubing 
placed in the dam amounted to 582 miles and grouting pipe 180 
miles. 

How effectively the system of cooling and grouting has worked 
ean best be seen by an examination from one of the numerous in- 
spection galleries that cross the dam on horizontal and circumfer- 
ential lines. One of these, the abutment gallery, starts in the dam 
near the top of an abutment, follows it downward, crosses the river 
channel within 5 to 30 feet of foundation rock and ascends along 
the other abutment to the dam crest. Other galleries pierce the dam 
in circumferential and radial lines at levels 12, 257, 357, 452, 527, and 
558 feet below the crest. All, except the lower of the circumferen- 
tial galleries, contact the two elevator shafts which connect with the 
dam crest. 

Water that otherwise would percolate past the dam through small 
crevices and fissures in the rock was halted by injecting water- 
cement grout into the foundations and abutments. Holes for grout- 
ing were drilled into the rock at 5-foot intervals the full height of 
each abutment and across the base, to a depth as great as 150 feet, 
and grout forced into the rock at pressures as high as 1,000 pounds 
per square inch. Any water passing the grout curtain will be caught 
by drainage holes drilled at 10-foot centers from the abutment gal- 
lery downstream from the curtain. Drainage from the gallery is 
provided by a passage through the dam to its downstream face. 

The reservoir formed by this high dam will be the largest man- 
made lake. When filled to capacity, it will contain sufficient water 
to cover the State of Connecticut 10 feet deep, its shore line will ex- 
tend 550 miles, and its depth at the dam will be 589 feet. If the 
entire flow of the river were stopped, the lake would fill in 2 years of 
mean flow, but owing to the demands for downstream irrigation, at 
least 3 years will be required. The 30,500,000 acre-foot capacity of 
the reservoir is allocated to the following uses: The lower 5,000,000 
to 8,000,000 acre-feet for a silt pocket, the next 12,000,000 to 15,- 
000,000 for active storage, and the upper 9,500,000 for flood control. 

The two spillways, which take the overflow of the reservoir, are 
located upstream and off to the sides of the dam. Each spillway 
channel has a length greater than that of two residence blocks, is a 
half block wide and a hundred feet deep. A concrete weir, whose 
unobstructed crest length is 400 feet, forms the upstream part of 
the channel on its reservoir side, and the downstream end of the 
channel is connected with the river below the powerhouse by a 
shaft, which drops downward on an incline a vertical height of 500 


438 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


feet, and an “ outer diversion tunnel” that has been driven through 
the cliffs past the dam. The largest battleship could be floated in 
the channel if the inclined shaft were damned at the portal. It is 
also of interest to note that if the spillways were operating at their 
capacity of twice the highest river discharge ever recorded at Black 
Canyon, the water would pass into the outer diversion tunnel at a 
velocity of 2 miles per minute while the energy expended would 
exceed 11,000,000 horsepower. However, a discharge of this volume 
will never occur, except in the most extreme emergency, for floods 
equal to the severest ever experienced on the river can be restrained 
by the outlet works and spillway gates to a flow past the dam of 
not more than 75,000 cubic feet per second, or approximately one- 
fifth of the spillway capacity. 

Four structural steel floating gates, a hundred feet in length and 
of circular segment section, are installed on each weir. Ordinarily 
the gates lie in recesses in the weirs, but, as the reservoir rises, they 
may be lifted as much as 16 feet to regulate the flow into the spill- 
way channel. Each gate is hinged on the reservoir side and, although 
weighing 500,000 pounds, it is a buoyant vessel and can be raised by 
allowing water to enter the weir recess and float the gate to the 
desired height. It may be lowered, conversely, by allowing the 
water to flow from the recess into the spillway inclined shaft. With 
gates in lowered position, the weir crest is 27 feet below the dam 
crest. 

Water will be taken from the reservoir for downstream require- 
ments, production of electricity, and regulation of the reservoir sur- 
face below the weir crests of the spillways, through the gates located 
in the four intake towers, the steel pipes in the penstock and outlet 
systems, and the needle valves of outlet works, or the turbines of 
the power plant. 

The four intake towers that are located just upstream from the 
dam are notable examples of the possibilities presented for combin- 
ing artistry and usefulness, of building for beauty as well as for 
strength and utility. These graceful concrete spires resemble huge 
fluted columns and have all the appearance of memorial monuments 
rather than serviceable structures designed for the particular pur- 
pose of regulating the flow of water from the Boulder Canyon 
Reservoir. 

Actually each tower is a hollow concrete cylinder of 29 feet 8 
inches internal diameter and 75 feet average outside diameter from 
which 12 fins project radially, the openings between the fins being 
spanned by steel trash racks. A hoist house of more than four 
stories high sits atop each tower and contains electrically operated 
hoists for raising and lowering the cylindrical gates that are installed, 


439 


BOULDER CANYON PROJECT—NELSON 


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The over-all 


one at the tower base and another 150 feet higher. 


height of each tower is 403 feet above its rock foundation, equal to 


that of a 34-story building. 


Water from the reservoir will enter the tower through the steel 


passage liners and gate opening (the gate being in raised position) 
to a 80-foot diameter steel pipe line that connects with the tower base. 


440 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


It then flows downstream to the power-plant turbines or continues 
farther downstream past the turbines to outlet works, which open 
into the river channel. Each of the two downstream towers is con- 
nected with a battery of six 84-inch needle valves in the canyon wall 
outlet works, and each of the two upstream structures with the six 
72-inch needle valves contained in the downstream plug of an inner 
diversion tunnel. Connections between the 30-foot pipe line and 
the power-plant turbines are through 13-foot diameter steel pipes. 

Foundations for the towers are on rock shelves cut in the canyon 
walls 250 feet above the old river surface, and the high points of the 
structures rise 56 feet above the dam crest. ‘Two towers are on each 
side of the canyon, the center line of the downstream ones being 
approximately 135 feet from the dam face and the other two 185 feet 
farther upstream. Bridges join the upstream and downstream towers 
with each other and with the dam. 

Placing the tower foundations so far above the old river bed 
produces a silt pocket, and thus clear water can be supplied at all 
times to the powerhouse turbines or outlet works. Silt deposition 
in the reservoir will be heavy, but will be relieved by upstream de- 
velopment, and present indications are that not more than one- 
tenth of the reservoir volume will be filled with silt at the end of 
50 years, 

The flow of water from intake towers to powerhouse or outlet 
works is carried in plate steel pipes installed on concrete piers in 
the lined tunnels. Anchors and thrust blocks are provided at sev- 
eral locations where the entire space between the pipe and tunnel 
walls is filled with concrete. 

The outlet works containing the 72-inch and 84-inch needle valves 
for by-passing water around powerhouse turbines are located in 
plugs in the inner diversion tunnels and in valve houses placed on 
benches in the cliffs 160 feet above the old river channel and down- 
stream from the powerhouse. A means of passage to the plugs is 
provided by a concrete lined adit whose canyon wall portal is near 
the downstream end of the powerhouse, and access is gained to 
the canyon wall valve houses through a shaft and elevator from the 
plug adit. 

A steel Stoney gate, whose leaf is 35 feet high by 52 feet wide and 
6 feet maximum thickness, is located at the downstream portal of the 
inner diversion tunnel to cut off the inflow from the river, whenever 
the requirement for maintenance work make such procedure desirable. 
The gate, weighing 260,000 pounds, is counter-weighted and is raised 
and lowered by two electrically operated hoists. 

Immediately downstream from the dam lies the huge concrete and 
steel structure of the powerhouse. This is a U-shaped building 


BOULDER CANYON PROJECT—-NELSON 441 


whose two wings nestle close to the cliffs, and the central sec- 
tion connecting them lies on the downstream face of the dam. The 
length around the U next to the cliffs and dam is nearly that of 
six ordinary residence blocks and the average width of each wing 
or central section approximately a half block. The height from 
lowest concrete to top of highest parapet is that of a 20-story 
building, and the parapet rises the height of 12 stories above low 
water surface in the tail race. The roof covers an area of 4 acres, 
is 414 feet thick (to resist rock falling from the cliff above) and is 
composed of seven laminations, two of these being reinforced con- 
crete, another asphalt paving, and others of sand and gravel. Sup- 
port for the roof is provided primarily by 11,600,000 pounds of 
structural steel trusses and beams, and beneath the roof are 10 acres 
of floors. 

When finally completed the power plant will contain fifteen 115,000- 
horsepower units, and two of 55,000, a total installed capacity of 
1,835,000 horsepower. Included in the machinery that will be placed 
in the plant are 14-foot diameter butterfly valves, 40-foot diameter 
turbine scroll cases, 82,500 kilovolt-ampere generators, 55,000 kilo- 
volt-ampere power transformers for raising the generator voltage 
from 16,500 to transmission voltage of 287,500, and 300-ton cranes. 
All units in the plant may be controlled from a single station or each 
anit may be run from a control board near it. Operating at rated 
capacity, the power plant would be capable of producing sufficient 
electric energy to supply complete domestic light and power for all 
the 8,500,000 inhabitants of the Colorado River Basin, or, calculated 
in a different manner, it would be enough to furnish each and every 
family in the United States with light from a 40-watt bulb. 

Approach to the powerhouse is first by way of two elevators, which 
descend from the dam crest the height of a 44-story building, and 
then by passageways through the dam a block in length to the central 
section. Another route is by a mile and a half of road and a 1,900- 
foot tunnel which connect the Boulder City highway with the down- 
stream end of the Nevada powerhouse wing. 

A high-tension switchyard, at the ends of the transmission lines, 
is located a thousand feet from the Nevada canyon rim opposite the 
central section of the power house. Remote control from the power 
plant, of the oil circuit breakers located at the switchyard, is pro- 
vided by electric circuits running from the central section upward 
through the chff in an inclined shaft and thence continuing to the 
switchyard in a 6- by 8-foot concrete conduit. 

Diversion of the Colorado River while the dam and power plant 
were being constructed presented a difficult problem owing to the 
narrowness of the canyon, the extent in and up-and-down-stream 


442 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


direction of the canyon workings, and the possible large fluctuations 
of the river’s flow. 

A final decision was made to drive two diversion tunnels through 
each canyon wall around the dam and powerhouse site, erect an 
earthfill cofferdam downstream from the inlet portals and another 
upstream from the outlet portals, place steel bulkhead gates at the 
inlet portals of the two tunnels farther from the river (termed the 
“outer diversion tunnels”), build plugs in the two tunnels closer to 
the river (termed the “inner diversion tunnels”), and construct 
plugs in the outer diversion tunnels—the one on the Nevada side to 
contain high pressure slide gates for temporary use during the filling 
of the lower portion of the reservoir. 

The downstream two-thirds of the diversion tunnels were to be 
used later in the operation of the reservoir, the outer ones becoming 
the outlets for the spillways and the inner ones containing the pen- 
stock headers from the upstream intake towers. Plugs were, there- 
fore, placed in the diversion tunnels immediately upstream from the 
intersections with the inclined tunnels to the spillways and to the 
towers. As previously mentioned, the inner diversion tunnels also 
contained plugs for outlet works at the downstream ends of the 
pipe headers. 

Control of the river consisted in turning it through the diversion 
tunnels by means of temporary dikes, building the cofferdams 
behind these protecting dams, shutting off the flow through the 
inner diversion tunnels and the outer Nevada diversion tunnel in 
periods of low river flow while temporary dams were dumped across 
the tunnel inlets and outlets, and constructing concrete plugs in these 
three tunnels, the outer Nevada one being equipped with gates. The 
bulkhead at the inlet of the outer Arizona tunnel was lowered, di- 
verting the river flow through the outer Nevada tunnel under 
contro] of the slide gates, thus commencing storage in the reservoir. 
A concrete plug was then built in the Arizona outer tunnel. 

After the reservoir has risen to the lower gates in the intake 
towers, and one of the outlet systems is ready for operation, the 
river control will be taken over by the needle valves in the outlet 
works. The bulkhead at the inlet of the Nevada outer tunnel will 
be lowered by remote control, as the gate sill will be under at least 
265 feet of water, and the slide gates in the plug closed for the last 
time. The openings through the plug will then be filled with concrete 
and grouted. 

Each of the four diversion tunnels was excavated to 56-foot di- 
ameter—as high as a 4-story building—and lined with a 3-foot 
thickness of concrete. The total length of the tunnels was approxi- 
mately 3 miles. Plugs placed in diversion tunnels, immediately 


BOULDER CANYON PROJECT—NELSON 443 


up-stream from the intersections with the inclines to spillways and 
intake towers, were 200 feet to 393 feet in length; and the gates for 
temporary diversion in the Nevada outer tunnel consisted of four 
sets of 6144-foot by 7-foot slide gates, operated by motor-driven oil 
pumps and hydraulic cylinders. Bulkhead gates placed at the inlets 
of diversion tunnels were built of structural steel plates and members, 
making a section approximately 56 feet wide, 51 feet high, and 1214 
feet thick. Two hydraulic cylinders, nearly 8 feet in diameter and 
70 feet in height, were required to lower or raise each gate in its steel 
and concrete frame, water being released from the cylinders in the 
lowering operations or being pumped beneath the piston heads to 
raise the gate. Forty-two railroad cars were required to bring one 
gate to the project, the weight of the moving parts of each gate being 
in excess of 2,000,000 pounds, and its frame, cylinder, and other 
operating parts another million pounds. 

The cofferdams themselves were larger than many diversion dams 
located along the tributaries of the Colorado and were constructed 
with greater care than numerous more permanent structures. Essen- 
tially they were rolled earth fills whose slopes away from the river 
were covered with heavy rock blankets. A 4-inch thickness of rein- 
forced concrete covered the upstream face of the upper cofferdam, 
sheet steel piling extended to rock across the upstream toe, and a 
rubber seal at the intersections of the face paving with the canyon 
walls and sheet piling prevented percolation of water through these 
vulnerable locations. A massive barrier of rock was placed im- 
mediately downstream from the lower cofferdam to protect it from 
eddy action of the river upon its exit from the diversion tunnels. 
After serving their purpose of diverting the river, the lower coffer- 
dam and rock barrier were removed as otherwise they would obstruct 
the flow from the powerhouse tailrace. 

The upper cofferdam was 480 feet long, 750 feet thick at the base, 
and 98 feet high; the lower cofferdam 350 feet long, 550 feet thick 
at the base, and 66 feet high, while the rock barrier was 375 feet long, 
200 feet thick at the base and 54 feet high. The crest width of the 
upper cofferdam was 70 feet and of each of the downstream structures 
50 feet. Materials placed in the dams amounted to 514,616 cubic 
yards of earth, 108,156 cubic yards of rock, and 2,394 cubic yards of 
concrete. 

Following the skirmishes with the river in the Imperial Valley 
and the preliminary engagements of a financial, legislative, and pre- 
paratory nature came the eventual conflict with the Colorado at 
Black Canyon—the supreme test of man’s ingenuity when finally 
engaged in battle with nature’s forces. Arrayed on the river’s side 
were not only cloudbursts, silt, and sudden floods, but as well the 


444 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


severe desert climate, the three-dimensional obstacle of transporta- 
tion to the canyon and down 800 feet to the canyon floor, and the 
difficulties of working in and on the sheer walls. Allied with men 
were the knowledge gained from winning many similar battles, an 
ideal site for the huge dam, and directly at hand the development 
and use of modern machinery. 

Work was started in Black Canyon the day after the first appro- 
priation was made available. Surveys were conducted by aerial 
and ground photography and later supplemented by detailed sur- 
veys of the canyon walls, in which latter work transits necessarily 
were set at hazardous points along the cliff, and the rodmen were 
lowered by ropes from canyon rims—at times swinging. inward 
pendulum fashion to secure shots under overhangs, while a sheer 
drop of 500 feet lay below. 

Specifications and drawings were being prepared in the Denver 
Office of the Bureau of Reclamation, in anticipation of the award 
of the principal labor contract in the fall of 1931. However, unem- 
ployment conditions were becoming stringent, and word came from 
Washington to rush the work to the greatest extent in order to assist 
in relieving the situation. Drafting forces were increased, designers 
worked night and day, and by Herculean efforts the major contract 
for construction of the dam, power plant, and appurtenant works 
was awarded to the lowest bidder (Six Companies, Inc.) on March 
11, 1931, 6 months ahead of the date originally set. This was the 
largest labor contract ever awarded by the United States Gov- 
ernment, the bid amounting to $48,890,995.50. Six Companies, Inc., 
is composed of six West coast contracting firms, who pooled their 
assets for the particular work at Black Canyon. 

Care of the workers presented problems requiring earnest thought. 
Shade temperatures in Black Canyon rise to 130° F., the daily mean 
rests for weeks above 100°, metal left in the sun burns to the touch, 
and the black walls of the canyon throw off furnace-like waves of 
heat. After studying climatic and soil conditions, a location was 
chosen on a ridge 7 miles from the dam site where the beautiful 
little town of Boulder City is now situated. Here are clean paved 
streets, grass and shrubbery to break the sun’s reflected glare, and 
homes, dormitories, and offices built to give maximum comfort in the 
summer heat. Water from the muddy Colorado is desilted, pumped 
2,000 feet in elevation, softened and sterilized by chemicals and sup- 
plied through an efficient distribution system to Boulder City 
dwellers as a clear sparkling hquid. Electricity, brought 222 miles 
across desert and mountains, from California for construction 
power, also supplies the town with light and power. In the fall of 
1931, the site of Boulder City was raw desert waste, but a year later 


BOULDER CANYON PROJECT—-NELSON 445 


nearly a thousand dwellings comfortably housed the town’s 5,000 
persons. . 

Highways and railroads were built from main lines across 30 
miles of desert to canyon rims. Other roads were constructed and 
rails laid to the bottom of Black Canyon and to various construc- 
tion plants. Boats and barges first carried men and equipment on 
the river, but these were replaced early in construction by steel 
bridges and a group of cableways. Materials were required in quan- 
tities never before shipped to a single construction job in such a 
short time—5,000,000 barrels of cement; 8,000,000 tons of sand, 
gravel, and cobbles; 45,000,000 pounds of reinforcement steel; 18,- 
000,000 pounds of structural steel; 21,000,000 pounds of gates and 
valves; and 840 miles of pipe were hauled over the railroads in 
the first 4 years of construction. On many days 60 cars of materials 
arrived on the project, and the total number of cars received in 
Boulder City from plants throughout the Nation amounted to more 
than 30,000, which figure does not include the 145,000 cars of sand, 
gravel, and cobbles placed in concrete construction. 

Even as the structures at Black Canyon were required to be the 
greatest’ of their kind ever built, so were many of the plants and 
much of the equipment used in construction, the largest of their type. 
Trucks were provided with aluminum bodies, capable of hauling 
16 cubic yards of materials, others were of 50-ton capacity, and some 
were converted into 100- and 150-man transports. Air compressor 
plants of 14,500 cubic feet per minute capacity were built near the 
river’s edge. A 20-mile railroad, whose rolling stock included 29 
steam and electric locomotives, was laid to connect all construction 
plants on the project. 

Transportation of men and materials between canyon walls or 
from rim to river channel was accomplished in great part by the 
use of cableways. The first of these were small 8-ton installations 
whose track cables were fastened in concrete-filled tunnels in the 
canyon walls, but the five that were used primarily for placing 
concrete in the major features of construction were of 25-ton nomi- 
nal capacity and of movable end tower type. Both of the end struc- 
tures, or towers, of four of these and the tail tower of the fifth, 
to which the track cables were fastened, consisted of heavy struc- 
tural steel frame works mounted on rails. The head and tail 
towers of the two largest cableways, whose spans were nearly a half 
mile, were 90 feet in height and the distances between center lines 
of front and rear tracks for each tower were 46 feet. The over- 
turning moment from the cable and its load was counteracted pri- 
marily by a million-pound block of concrete placed over the rear 
tracks and by centrally located trucks which traveled against a rail 


446 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


set with its web horizontal. The hoisting equipment was placed 
in the head towers on the Nevada side, and directions for movement 
of the load on the cableway were phoned to the operator by signal- 
men located at the loading and unloading sites. Winches in the 
head towers of each cableway for moving the towers on their tracks 
were electrically operated from the same circuit. 

Perhaps the most important equipment of the contractor, Six 
Companies, Inc., was the sand and gravel screening and washing 
plant and the two concrete mixing plants. Pit material was hauled 
by rail to the screening plant and there separated into sand, cobbles, 
and three sizes of gravel. In its 34 months of operation, the plant 
classified 7,700,000 tons of concrete aggregates, and on many occa- 
sions processed 800 tons in 1 hour. 

The Lo-Mix concrete plant was located 4,000 feet upstream from 
the dam and at the crest elevation of the upper cofferdam. Con- 
crete produced by this plant amounted to 2,097,000 cubic yards. 
Its record for 1 day was 7,013 cubic yards and 182,784 in 1 
month. The Hi-Mix plant was situated near the Nevada canyon 
rim, 650 feet downstream from the dam abutment. Placed in oper- 
ation on March 1, 1933, this plant had mixed 2,324,000 cubic yards 
of concrete by October 1, 1935. As many as six 4-cubic-yard mixers 
were manufacturing concrete simultaneously, and on December 27, 
1934, the plant produced 3,000 cubic yards in one 8-hour shift. 
Records established by both plants were 10,417 cubic yards in 1 
day and 261,847 yards in 1 month. Cement was brought to the 
project in bulk, as many as 35 cars being used in 1 day. After 
July 7, 19338, all cement passed through a blending plant in order 
to blend the products from the various mills. 

Excavation of the tunnels to carry the entire river flow while the 
dam and powerhouse were built was the first work undertaken at 
the dam site. The speed and dispatch with which the tunnels were 
driven by the contractor forecast the efficient and expeditious man- 
ner in which the entire construction program was to be completed. 
The canyon walls were first pierced with small bores along the tun- 
nel line with the usual mining equipment of compressed-air drills, 
electric locomotives, and dump cars, but tunneling history was made 
in the enlargements to the full 56-foot circular section. An espe- 
cially designed drilling jumbo, mounted on a truck and equipped with 
30 drills, was backed up to the face, and a deafening roar filled the 
tunnel as the numerous drills ate their way 10, 15, 20 feet into solid 
rock. A ton of dynamite was loaded into the drill holes, all of the 
machinery moved away from the heading, and the following elec- 
trically fired blast shook the canyon walls. Power shovels moved 
to the tunnel face, the broken rock was loaded into trucks, and soon 


BOULDER CANYON PROJECT—NELSON 447 


these were filing in a long procession up steep grades to dump 
grounds in side canyons. 

An average blasting round broke 1,000 cubic yards of rock and 
advanced the heading 17 feet. Work progressed at times from 
eight headings. A total length of 256 feet of tunnels was driven in 
24 hours, and 6,848 feet in 1 month. Removal of the million and a 
half yards of rock in the 4 tunnels required 3,561,000 pounds of 
powder, or 2.38 pounds per cubic yard. 

Lining the tunnels with concrete to prevent rock falls and furnish 
a smooth surface for water flow, thus increasing their capacity, was 
accomplished in the same capable way as were the excavations. Steel 
forms were used, those for the side walls weighing 250 tons for an 
80-foot length. Concrete was placed behind them from spout dump 
buckets, through chutes, or forced into place by compressed air 
guns. 

As soon as the two tunnels on the Arizona side were lined, the 
river was turned from its ages-old channel and detoured through 
the canyon walls for nearly a mile. The manner of its diversion is 
one of interest. A pile trestle bridge was first built across the river 
downstream from the diversion tunnel inlets, and the temporary 
dams in front of the Arizona tunnel portals were blasted. Trucks 
commenced dumping large rocks, then smaller ones, and finally silty 
sand from the bridge into the channel, thus forming a dam in 24 
hours which entirely turned the river flow. A dike of tunnel muck 
was pushed across the river channel in the relatively still waters 
upstream from the tunnel outlets, and the area between the two 
temporary dams was then pumped dry. 

Behind the protecting barriers of the two temporary dams, con- 
struction proceeded for the cofferdams, and excavations for the 
main structure of the dam and the powerhouse. Earth for the per- 
manent cofferdams was secured principally from two pits in Hemen- 
way Wash, 4 miles from the dam site, and was hauled by train to 
an interchange dump near the upper portals of the Nevada diversion 
tunnels. Shovels loaded the material from the dump into trucks 
which placed it in the dam. The earth was spread by caterpillar 
tractors, moistened by hose, and then compacted by a sheep’s foot 
roller. Trains returning to the Hemenway pits were loaded with 
rock and channel muck from the canyon workings, this material 
being dumped at a suitable site 3 miles from the dam. Excavations 
in the river channel for the dam and powerhouse were carried 
downward a maximum depth of 135 feet below the old river bed. 
A piece of 2- by 6-inch cut timber was uncovered 40 feet below 
the river bed, indicating the depth to which the river had eroded its 
channel during some flood or floods in the last 50 years. 


448 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Removal of loose and projecting rock from the canyon walls and 
the excavations for the intake towers, dam abutments, back walls 
of power house, and the valve house benches were conducted by the 
spectacular high scaling methods. Ropes were fastened to anchors 
along the canyon rims and men, suspended from the ropes by safety 
belts or on bosun chairs, pried off all loose rock and drilled for 
blasting. High scalers were lowered to their work by cableway 
or climbed to that position “over the ropes.” Approximately 
930,000 cubic yards of rock were dumped into the canyon by these 

nethods. 

Inclined shafts, from outer diversion tunnels to spillway chan- 
nels, and the raises to all four intake towers were excavated by 
first driving a top heading from the lower tunnel upward, enlarg- 
ing the slot across the section to the invert, and then breaking the 
sides into the slot, working from the top downward on horizontal 
benches. Muck was removed from the tunnel below by an electric 
power shovel and fleet of trucks. Lining the inclines with a 3-foot 
thickness of concrete progressed from the lower tunnel upward. 
Concrete was brought to the canyon rim in 4-cubic-yard “ agitator ” 
buckets, lowered by cableway or derrick to the upper portal and 
then placed in position behind steel or wooden forms via zig-zag 
chutes or by lowering the “ agitator ” by rail down the incline invert 
to a belt conveyor which carried the concrete to the forms. Linings 
of the penstock tunnels and the horizontal sections of the header 
tunnels were placed by means of conveyor belts or “ Pumpcrete ” 
guns. 

Concrete for the intake towers was placed by 15-ton derricks 
equipped with 180-foot booms which took the loaded bucket from 
train or cableway platform and lowered it to a centrally located 
hopper on the tower. From here the concrete flowed to place 
through radially located chutes. A similar arrangement was em- 
ployed for building the power house and valve houses, cableways 
being used in place of derricks. Equipment for lining the spillway 
channels and constructing the weirs consisted primarily of train, 
truck, and cableway for transportation in 4-yard buckets from the 
Hi-Mix plant, and a dragline equipped with an 100-foot boom for 
conveying the concrete by 1-yard bucket to the pouring site. 

But it was in the huge mass of the dam that the cableways, mixing 
plants, and transportation facilities received full play. Concrete was 
loaded into 8-cubie yard bottom dump buckets and transported to 
pouring site first by train, consisting of a compartment car pulled 
by an electric or gasoline locomotive, and then by one or another 
of four 25-ton cableways. On June 6, the first bucket of concrete 
was dumped for the huge structure of the dam. Six months later 


BOULDER CANYON PROJECT—-NELSON 449 


a million yards were in place, another million was poured in the fol- 
lowing half year, and the third million on December 6, 19384, only 
18 months after the first bucket dumped its load of concrete 700 feet 
below. Crest height was reached on March 238, 1935, and by the fol- 
lowing summer all concrete—3,250,000 yards of it—was in place, 
with the exception of the filling of temporary galleries. A remark- 
able record—1,200 men with modern equipment had in 21 months 
built a structure whose volume is greater than the largest pyramid in 
Egypt, which, according to Herodotus, required 100,000 men 20 
years to construct. 

The contract with Six Companies, Inc. allowed 7 years to complete 
the work, but by the aid of an efficient personnel, and with the as- 
sistance of the most modern equipment, the contract is expected to 
be completed nearly 2 years in advance of the expiration date. Work 
remaining to be done by the contractor on October 1, 1935, was prin- 
cipally in the adding of the final touches to major structures, filling 
the temporary galleries of the dam with concrete, completing the two 
tunnel plug outlets, pouring concrete piers, anchors and thrust blocks 
for the plate steel penstock pipe and removing the debris of con- 
struction. 

New problems arose from the decision to place steel pipes in tun- 
nels for supplying water to outlet works and power-house turbines. 
The principal provisions of the contract given to the Babcock & 
Wilcox Co., of Barberton, Ohio, for its low bid of $10,908,000, were 
to furnish and place 234 miles of plate steel pipe, whose maximum 
thickness of steel was nearly 3 inches, and whose gross weight ex- 
ceeded 44,000 tons. As mentioned, in part, previously, the penstock 
header lines are 30 feet and 25 feet in diameter, penstocks of 13 
feet (excepting 108 feet of 9-foot diameter), and the outlet conduits 
of 86-inch and 102-inch diameter. 

Railroad facilities were inadequate to transport the larger pipe 
sections, and therefore a modern fabrication plant was built at a suit- 
able location along the United States construction railroad, 114 miles 
from the top of the Nevada dam abutment. Flat plates were shipped 
to the plant and the pipe sections entirely fabricated there. A sec- 
tion of the largest pipe when completed had a length of 23 feet 4 
inches and a weight of 175 tons. 

Fabrication of a 380-foot section consisted essentially of marking 
six 10-foot 6-inch by 31-foot 5-inch flat plates, cutting them to size 
with an acetylene torch, planing welding grooves on three sides, pre- 
paring the plates for rolling by bending the ends in a 3,000-ton 
press, rolling the plates in 12-foot vertical rolls, assembling and 
electrically welding the plates together and adding butt straps and 
stiffeners. All welds between the rolled plates were then X-rayed 


450 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


by a 300,000-volt portable machine, the film examined, all flaws 
chipped out and replaced with new metal, and the weld X-rayed 
again. The pipe was then taken by one or more 75-ton traveling 
cranes to the normalizing furnace where it was heated to a tempera- 
ture of 1,150° F., held at this temperature for several hours, and 
slowly cooled to relieve the stresses set up by rolling and welding. 
From the furnace, the section traveled to a facing lathe equipped 
with a 35-foot arm, where the pipe ends were machined, and the 
section then taken to the storage yard for cleaning, painting, and 
the drilling of holes for erection pins. Fabrication of all pipes 
is expected to be completed in 1935. Items of interest, relating to 
the work, are that there will be approximately 76 miles of weld- 
ing and the X-ray film used will be 29 miles in length. 

Transportation of sections from plant to canyon rim was by train 
for the 18-foot diameter pipes and smaller ones, and by a 200-ton 
trailer pulled and controlled by two 60-horsepower caterpillar trac- 
tors for the heavier sections. The 200-ton Government cableway 
transferred the pipe from canyon rim to a “car-on-a-car” at the 
portals of one of the construction adits from where it traveled on 
the double carriage through the adit to a penstock header tunnel and 
was pulled to its approximate final position on the top single car- 
riage by suitably located winches. 

If the pipe section was intended for a position in one of the raises 
to the intake towers, the car left the tunnel rails at the base of the 
raise and traveled on the concrete lining to its place under impetus 
of three hoists, each of 75 horsepower rating, located on a platform 
at the tower base. 

The procedure of erection was to install spiders in each adjacent 
pipe section and by means of jacks in the ends of the two spider 
arms form the pipes in round sections. The butt strap was then 
heated with a gas ring (using butane gas), one pipe was pulled 
into the other with winches or a specially devised spider, steel 
pins were inserted and pressed into place from inside the pipe, a 
rim was cut into the pipe around the outer end of the pin and this 
rim calked inward beneath a projecting rim on the pin. The outer 
end of the butt strap was also calked into the pipe it enclosed. The 
pins for the largest 30-foot sections were 3; inches in diameter, 
and the diameter of the drilled hole, into which they were pressed, 
was three-thousandths of an inch less than that of the pin. 

All pipe sections were pinned, excepting the 814-foot outlet con- 
duits, which were hot-riveted, and a few miscellaneous sections that 
were welded. In the latter case, the weld and pipe near it were 
stress relieved by heating with gas rings. 


BOULDER CANYON PROJECT—NELSON 451 


Erection was started in April 1934 and by January 2, 1935, was 
in progress in all four tunnels. At the present rate of installation, 
the entire program of erection will be completed before the end of 
1936. 

Owing primarily to the progressive manner of its installation, 
the Bureau of Reclamation elected to place most of the intricate 
mechanism of the power-plant machinery with its own forces. Four 
of the 115,000 horsepower units, and one of 55,000 will be placed in 
the powerhouse, starting in 1935, and two more of 115,000 horse- 
power in 1936. The other eleven 115,000 horsepower units and one 
of 55,000 horsepower are expected to be installed within the next few 
years in accordance with the power contracts. 

Although of predominant interest at this time, the activities of 
construction will soon be nearly forgotten in the all-absorbing in- 
terest in the results being obtained from the project and those 
anticipated. 

Today the massive structure of the dam boldly fills the gap be- 
tween canyon walls. Upstream from the dam, the four spires of 
the intake towers rise from the reservoir, and on each side of the 
canyon the large spillways occupy basinlike depressions. Immedi- 
ately downstream from the dam is the U-shaped powerhouse, and in 
niches in the cliffs farther downstream are the valve houses of the 
canyon wall outlet works. Adit portals are visible at the down- 
stream ends of the powerhouse wings and a short distance upstream 
from the canyon wall valve houses, through which steel pipes are 
being taken into the penstock tunnels. Down the canyon a few 
hundred feet, the diversion tunnels open into the river channel, the 
outer Nevada one now carrying the entire discharge from the 
reservoir. 

Already the blue-green reservoir has filled the canyons for 80 miles 
where the river long held sway, and lines of tall towers are marching 
across the desert, soon to carry millions of watts of power to southern 
California cities. 

Imperial Valley needs no longer fear drought and flood, for an 
entire year’s supply of irrigation water is already in the reservoir, and 
floods above Boulder Dam may be shut off entirely if found necessary. 
Reports are also received of a considerable lessening of the silt content 
at downstream points, and the reservoir back of the dam is clear for 
25 miles upstream. Boating and swimming are becoming more pop- 
ular, and the first bass have been placed in the reservoir by the Bureau 
of Fisheries Hatchery of Dexter, N. Mex. 

The Bureau of Power and Light of the city of Los Angeles is erect- 
ing two 3-conductor 287,500-volt transmission lines to Los Angeles. 

36923—36——30 


452 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The Metropolitan Water District of Southern California is commenc- 
ing construction of a line to take power from the dam to pumping sta- 
tions 125 miles to the southwest. Communities in Nevada, as many as 
150 miles away, are already making efforts to obtain the cheap power 
that will soon be generated. An electrochemical laboratory is ex- 
pected to be established in Boulder City shortly to aid in the develop- 
ment of the mining areas in the nearby regions. 

Boulder Dam was dedicated on September 30, 1935, by President 
Franklin D. Roosevelt in a ceremony which was attended by Secretary 
of the Interior Harold L. Ickes, several Senators and Governors from 
the Colorado River Basin States, high officials of the Bureau of Recla- 
mation, and many prominent persons whose names are linked with the 
Colorado River conflict and the development of the Southwest. 

The question is often asked “ Who planned this great works? ” and 
the answer must be “ No one man.” It represents the combined train- 
ing and experience of engineers of the Bureau of Reclamation gained 
in 30 years of building similar structures. In the days when the 
project was in its formative period, A. P. Davis was its director and 
F. E. Weymouth chief engineer. During the later years, and through- 
out construction, the Commissioner of the Bureau of Reclamation has 
been Dr. Elwood Mead; the chief engineer, R. F. Walter; assistant 
chief engineer, S. O. Harper; chief designing engineer, J. L. Savage; 
chief electrical engineer, L. N. McClellan; and chief mechanical engi- 
neer, C. M. Day. Construction engineer Walker R. Young is in 
charge of construction on the project. 


REFERENCE LITERATURE 


Bureau of Reclamation: Annual Histories of the Boulder Canyon Project. 
Maps, Drawings, and Specifications. 

Compressed Air Magazine: The Story of Boulder Dam. 

Boulder Dam Service Bureau: Construction of Boulder Dam, seventh edition. 


Smithsonian Report, 1935.—Nelson, W. R PEATE 1 


1. LOOKING UPSTREAM THROUGH BLACK CANYON TOWARD DAM SITE. 


Copy of photograph taken in 1922. 


2. LOOKING DOWNSTREAM TOWARD DAM SITE FROM LOWER SLOPE OF UPPER 
COFFERDAM. 


Base of Nevada intake towers excavation seen in upper right. December 31, 1932. 


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Smithsonian Report, 1935.—Nelson, W. R. PLATE 4 


1. HEADQUARTERS OF BOULDER CANYON PROJECT, SEEN FROM THE AIR. 
BOUL.DER CITY, NEV. 


View looks northwest. December 13, 1934. 


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2. TRUCK MOUNTED DRILL RIG USED BY CONTRACTORS IN UPPER PORTION OF 
DIVERSION TUNNELS. 


Rig is seen in the position in which it approaches heading. April 20, 1932. 


Smithsonian Report, 1935.—Nelson, W. R. 


1. LOOKING UPSTREAM THROUGH BLACK CANYON. 


View shows outlet portals of diversion tunnels nos. 2, 8, and 4. July 28, 1933. 


2. GRAVEL SCREENING AND WASHING PLANT. 
July 17, 1933. 


Smithsonian Report, 1935.—Nelson, W. R. PLATE 6 


1. FIRST BUCKET OF CONCRETE GROUT IS PLACED IN BOULDER DAM PROPER. 
June 6, 1933, 11:20 a. m. 


ve. ES 


2. DOWNSTREAM FACE OF BOULDER DAM. 


The last dump of concrete was poured on May 29, 1935. Work is still in progress on power plant. 


Smithsonian Report, 1935.—Nelson, W. R. PLATE 7 


1. EIGHT CUBIC YARD CAPACITY CONCRETE BUCKET DISCHARGING LOAD IN DAM 
COLUMN FORM. 


September 27, 1933. 


2. LOOKING DOWNWARD AT UPSTREAM FACE AND TOP OF DAM STRUCTURE FROM 
RAILWAY TRESTLE OVER NEVADA INTAKE TOWERS. 


March 22, 1934. 


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Smithsonian Report, 1935.—Nelson, W. R. PLATE 9 


1. HAULING FIRST SECTION OF 30’ DIAMETER PENSTOCK PIPE ALONG PARAPET 
ROADWAY. 


July 20, 1934. 


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2. STEEL SPIRAL CASING FOR 115,000 HORSEPOWER BOULDER POWER PLANT 
TURBINE ASSEMBLED IN SHOP OF ALLIS CHALMERS MANUFACTURING CO., 
MILWAUKEE, WIS. 


May 15, 1935 


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WINGS OVER THE SEA:* ARE LANDING PLACES 
NECESSARY FOR THE COMMERCIAL AERIAL 
CROSSING OF THE NORTH ATLANTIC?? 


By Lovis BLérRtor 


[With 5 plates] 


The recent progress of commercial aviation: the speedy trans- 
continental lines in the United States, the renewing from the ground 
up of the equipment of the great European transport companies, the 
success of the London-Melbourne route, as well as the regular cross- 
ings of the South Atlantic—all this shows that development is accel- 
erating and that aviation is moving with great strides toward its 
final goal, supremacy in the field of rapid transport over great 
distances. 

Everyone remembers the magnificent flight of Costes and Bellonte, 
September 1 and 2, 1930, one of the finest performances of the times, a 
response to the visit of Lindbergh and the first flight from Paris to 
New York, made under extremely difficult conditions. I salute also 
Rossi and Codos, who in the Joseph LeBrix, in 1933, succeeded again 
in crossing the North Atlantic, carrying a useful load of 2 tons. It is 
to them and to Bossoutrot that I owe the present list of honors of 
my old firm—world records in a straight line and in a closed circuit, 
and crossings of the North and South Atlantic in both directions. 
Let me express here my recognition and my admiration for your 
intrepid courage. 

I recall that it was in 1919 that the Atlantic was first crossed in 
an airplane by Alcock and Brown. You will remember the flight 
of Lindbergh, coming in a straight line from New York in 1927, 
and today we can say that the list of pilots who have succeeded in 
this exploit exceeds by far the hundred mark, the Italians having 
crossed in a squadron with a personnel of 100. 

Many of these heroes have visited me, and it is after conversing 
with them that I have decided, in order to do my best to aid them, to 

1 Translated by permission from ]’Aérophile, 43¢ ann., no. 3, March 1935. 

2? This matter has been made the subject of a conference at the Aero Club of France. 


453 


454 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


try to solve that great problem worthy of French aviation: the 
commercial aerial linking of our two continents. 

Let us commence, then, the study of the problem. If we consider 
the component elements of all transport—(1) speed, (2) economy, 
(3) frequence, (4) regularity, (5) safety—we see immediately that 
on all these points transoceanic aviation is rapidly coming to out- 
distance all the other means of transportation. 


SPEED 


It is undeniable that the airplane can now make 250 to 300 kilo- 
meters an hour, thus joming Europe to America in 16 to 20 hours. 
There is therefore no need to insist on this point. 


ECONOMY 


Maritime companies, under the influence of international com- 
petition, are forced to build enormous floating palaces more and 
more expensive and more and more comfortable, but of which the 
cost runs into astronomical figures. Modern steamships such as the 
Queen Mary and the Normandie cost more than 800,000,000 francs, 
which for a total of 2,000 passengers represents for each passenger a 
capital of 400,000 francs, whereas for an airplane this same capital 
would be in the neighborhood of 100,000 francs. As an airplane 
travels four times faster and hence can cross the ocean two or three 
times a week, while a steamship can make the crossing only two or 
three times a month, we can see how much greater would be the 
return on the capital involved in the case of the airplane, and this 
in spite of the difference in amortizement. 

It appears that at present we are seeing a sudden change in the 
technique of transportation. We are struck by the importance of 
dead weight necessary in providing for the comfort of the passengers. 
In de luxe trains the transportation of a traveler represents a dead 
weight of several tons, and the coefficient of utilization is perhaps 
even less than 2 percent. This coefficient is reduced to 114 percent or 
even less in the great steamships. Thus it is seen why we seek to 
obtain a better result and why we come to busses or to automobiles, 
which transport a useful load in the neighborhood of 20 percent, 
with therefore a decrease in the cost per kilometer. 

While on the subject of economy, I would like to bring out here 
the role of dead weight in aviation, a role entirely different from 
that in terrestrial or marine transportation. To transport passengers 
means, in the first case, to transport a certain weight; and in the 
second case to overcome the air resistance of the railway coach or 
of the cabin, of which the design is conditioned by the exigencies 
of comfort. 


WINGS OVER THE SEA—BLERIOT 455 


Since there are now constructed, according to the principles bor- 
rowed from aviation, fusiform trains and also aerodynamic pilot 
houses, it may be said that the air resistance, for equal speeds, would 
be practically the same for the means of transportation on the 
ground as for the airplane. But it is not the same for the resistance 
due to the weight to be transported. 

For an automobile, the resistance to horizontal motion, or resist- 
ance to rolling, is about 25 kilograms per ton; for railroad trains 
and great steamships, it is about 2 kilograms per ton. Now, in avia- 
tion, this coefficient is infinitely greater; it corresponds inversely 
to the superiority of the wing structure. In spite of all the progress 
of aerodynamics, the necessary traction is at least one-twentieth of 
the weight to be transported, say 50 kilograms per ton. It is there- 
fore twice as great as for the automobile, 25 times as great as for the 
railroad train and the ship. If we see great efforts already being 
made to lighten rolling stock, this lightening becomes a necessity in 
aviation, where the dead weight is brought to life; it has a good 
appetite, for it needs a large ration of fuel. 

For the airplane it is necessary that the ratio of useful pay load 
to dead weight be at least 20 percent, if it is not to fall into the 
class of excessively high-priced transportation. I must admit that 
for the mail plane we can be content with much less, but it should 
not be supposed that we will always carry the mail at a tariff of 
2,000,000 francs a ton, as is the case at present for the France-South 
American mail. This mail will become lighter, for soon it will be 
divided among the countries located on the same route, and more 
and more it will be subject to the competition of the radio. 

It will therefore be necessary to consider a less remunerative 
freight. The difficulty for the great ocean routes will then be to 
reserve for this freight at least 20 percent of the weight of the air- 
plane. In this case, as it is necessary to count on about 60 percent 
for the weight of the airplane and of its motors and equipment, there 
would remain therefore only 20 percent for the weight of the fuel; 
this would limit the hops to about 1,500 kilometers, which can now 
be accomplished at speeds of 200 to 250 kilometers per hour. 


FREQUENCE 


Aviation need only construct units with a capacity of 20 to 25 
passengers which would be sufficiently comfortable for a trip of 
several hours. The transport plane, therefore, can be full on each 
of its trips, even if these trips are daily, while a steamship with a 
capacity of 2,000 is not assured of having its full complement of 
passengers on each of its weekly trips. 


456 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


REGULARITY AND SAFETY 


These are the principal conditions for a commercial undertaking. 
They are conditioned by the ground facilities. The experience of 
terrestrial aviation has clearly shown that its development is closely 
connected with that of the organization of airports. 

If the transcontinental lines in the United States have had such 
a brilliant success, it is due to the some 1,600 airports, veritable service 
stations, which line all the aerial routes. And if these routes stop 
short at the shores of the oceans, it is for no other reason than that 
the ground facilities stop at the same places. 

The effort which must be made to provide these ground facili- 
ties is still considerable. I call upon the qualified organizations and 
upon all those interested in this question for the diplomatic and 
financial solutions of the problem here considered, for I will show you 
shortly that it has been solved technically. I may add that it is 
necessary to hasten, for competition is already appearing between 
Zeppelins and steamships. 

I was recently in New York at the same time as Dr. Eckener, who 
announced in public lectures a Zeppelin service for the month of 
June following to make the crossing from Europe to North America 
in 48 hours, as he had already joined South America to the Old 
World. These Zeppelins could carry about a hundred passengers and 
several tons of freight. I have heard it said, moreover, that America, 
not wishing to be outdistanced, is constructing two Zeppelins for the 
same purpose. Certainly these Zeppelins can never obtain the speed 
of airplanes, but this does not mean that they will not some day rival 
them from the point of view of regularity, of safety, and even of 
economy. 

HISTORICAL 


Let us speak a little of the history of the question. Going back 
to 1927—in that year I submitted to M. Bokanowski, then head of 
the Ministry of Public Transport, to which aviation was attached, 
the result of my work in the form of a memoir. On the subject of 
the route the conclusion was definite: It is absolutely necessary to 
pass to the south of the bad-weather zone, a line which we now 
know so well, thanks to the remarkable work of our two meteorolo- 
gists, MM. Wehrlé and Viant. French aviation owes them the high- 
est recognition for the exact advice which they have always furnished 
to our military pilots and to those of my firm in particular, realizing 
that a good part of their success is due to the devoted collaboration 
of these two men of science. 

On the subject of equipment, I proposed very special airplanes, 
which I will describe to you shortly. 


WINGS OVER THE SEA—BLERIOT 457 


The official services have not felt that they should give attention 
to my work. I found support, then, from a great motor firm, “ La 
Société francaise Hispano-Suiza.” In 1928 we sent to the Azores 
our joint representative, the engineer M. Heurteult, later director 
of the Columbia Co. and son-in-law of M. Birkigt, to study on the 
ground the possibilities of establishing the proposed landing place. 
He found a suitable site for the location of an airport, but before 
being able to undertake anything, it was necessary to get the consent 
of the Portuguese Government. There again the lack of official in- 
terest on our part stopped short all private initiative, in spite of 
the intervention of an interested deputy of French aviation, M. 
TForgeot. 

Since then, other French firms have interested themselves in this 
landing place in the Azores, while I have concentrated all my efforts 
on a more complete solution, making considerable progress and 


avoiding more easily difficulties of a diplomatic nature: That of 
floating islands. 


THE FLOATING ISLANDS 


Numerous projects, in France as well as abroad, have been worked 
out in this connection, most of them unfortunately somewhat fan- 
tastic. I cite as an example the projects of two French architects, 
M. Defrasse and M. Basdevant: The first concerns a floating island 
of reinforced concrete, forming a horseshoe; the second contemplates 
two pontoons joined by a bridge. These are not, however, floating 
airports, but simply landing places for the refueling of hydroplanes, 
and the special form proposed by the authors of the plans has for 
its purpose the creating of a stretch of water calm enough to permit 
landing even in bad weather. 

I consider that the only project that would be perfect from all 
points of view is that of the Armstrong Seadromes. 

That American engineer has been actively occupied with the ques- 
tion for about 15 years. He has not been content with making suc- 
cessive plans, answering better and better the criticisms and sugges- 
tions that have been made to him by the eventual users. He has not 
only studied with very exact care all the details of construction, 
solved in clever fashion knotty problems such as stability in the 
water, independence of the motion of the waves, anchorage in a 
depth of more than 4,000 meters, the transportation of these struc- 
tures to their determined stations, and many details of arrangement— 
no, he has done more—with the support of the research association 
which he created, he has completed models, reduced in scale it is 
true, but nevertheless devices weighing several tons. He has tested 


458 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


them in agitated water, thus verifying the soundness of his 
predictions. 

An Armstrong seadrome is a great platform constituting the 
landing area for airplanes and supported by a certain number of 
columns. 

There are two superposed decks: The upper one forms the land- 
ing platform 475 meters long by 92 meters wide in the center and 
46 meters wide at the ends. An elevator permits the airplane to 
descend to the lower deck, where are found spacious hangars, re- 
pair and maintenance shops, dwelling quarters for the crew, stores, 
auxiliary equipment, as well as hotel accommodations for the pas- 
sengers, a certain number of whom, one would think, would wish 
to spend several days in the calmness and the pure air of the ocean, 
only 8 hours from Paris, London, or New York. 

The upper deck, which is located 31 meters above the water, is 
kept as clear as possible so that nothing may hamper the airplanes. 
The lookout station and the antenna of the directional radio, in- 
stalled completely above the deck, are the only protuberances. The 
ensemble of the two decks forms a solidly braced metallic framework 
which rests on 32 sheet-iron columns. Each of these is furnished 
with a watertight reservoir, filled with air and forming a float, with 
another reservoir at its lower end filed with iron ore serving as 
ballast for the sake of its stability. It is in the judicious disposition 
of these floats that resides the great superiority of the Armstrong 
seadrome over all other known projects. It will, then, be desirable 
to dwell a little on this point. The wave which you see shown in 
the drawing (fig. 1) is 9 meters in height by 180 meters in length; 
this is a degree of roughness greater than would be seen even dur- 
ing a gale; as you see, not even the lower deck is reached by the 
water. 

The amount of motion of the water produced by the waves de- 
creases rapidly, however, below the surface. The floats, then, are 
located in relatively calm water—like submerged submarines; the 
result is that the supporting effort on the whole structure varies hardly 
at all—so little that there is no pitching motion. There is produced 
only a slight heaving, of the order of several centimeters. 

In actual use the lower ends of the columns are 63 meters below 
the water level. In towing the seadrome to the place where it will 
be used, this would be much too great. The columns are therefore 
telescopic; during transportation the lower part is raised so that 
they draw only 16 meters of water. 

In order to remain in the desired location, the seadrome is se- 
cured first to a buoy, which in turn is fastened to an anchor of 
special form. The maximum pull exerted by the water and by 


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WINGS OVER THE SEA—BLERIOT 459 


the wind has been determined after tests in the laboratory and in 
the open as 60 tons. The reaction due to the waves has been re- 
duced to the minimum by giving a fusiform shape to that part of 
the columns which projects above the water. ‘To anticipate, never- 
theless, a situation in which the seadrome, following a break in the 
mooring cable, should find itself adrift, there have been installed 
a group of four motor-driven propellers; each comprises an electric 
motor of 500 horsepower, driving a propeller about 6 meters in 
diameter. The speed of 6 knots which this system makes possible 
is enough to overcome drift, and it can also aid during 
transportation. 

The type of anchor which, after many trials and much study, the 
Armstrong Co. has employed, has a circular form 30 meters in 
diameter and weighing 100 tons. The maxmium depth on the route 
selected is about 4,500 meters. The connection between the buoy 
and the anchor consists of two cables, the diameter of which is about 
80 millimeters at the top, decreasing to about 65 millimeters at the 
lower end and terminating in two chains. 

In case it should not be desired to put all the seadromes into 
operation at one time, the Armstrong Co. has developed the project 
of an intermediate floating island; it constitutes a meteorological and 
radiogoniometric base, carrying a powerful beacon. The anchorage 
comprises the same elements as that of a seadrome; the replacement 
of one by the other, therefore, would be very rapid. 

Having spoken of the floating islands themselves, we now come 
to their utilization. 

THE AIRPLANE 


A trial bifuselage airplane, specially designed for this service, 
was constructed in 1930 and has shown itself to be very manageable. 
It performed very creditably, considering the very modest power 
of the motors with which it was equipped. The results obtained 
have furnished a sure basis for the extrapolation of the formula 
from which was constructed a model for trial in the wind-tunnel. 
The two watertight fuselages have tapered bottoms, in order to per- 
mit contact with the water without dangerous shock. The three 
motors are installed on the trailing edge of the wing, which leads 
to numerous advantages: An improvement in the operation and 
efficiency of the propellors, quietness in the cabins, suppression of all 
risk of fire from the motors, excellent visibility for the pilots, 
etc.—which are added to the previously known advantages of the 
bifuselage formula: Lightness and strength of construction, due 
to good distribution of weight, the elimination of the aerodynamic 
resistance of the wheels, without which it would be necessary to 


460 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


have recourse to retractable landing-gear, extreme comfort of the 
passengers, etc. 

The hydroplaning surfaces can be attached to the bottom of the 
fuselages after the airplane is put down on the water. This ar- 
rangement permits the airplane to rise from the water with a light 
load in order to regain the nearest airdrome or seadrome. 

As you see, I have always remained faithful to the airplane for 
these great commercial routes. The reasons which have lead me defi- 
nitely to adopt this solution are the following: 

All things being equal, the airplane has greater commercial effi- 
ciency, for the weight and the resistance of the fuselage are always 
less than those of a hull furnished with pontoons permitting it to 
take off. 

Furthermore, the safety of a hydroplane is not greater than that 
of a multimotored airplane, provided that the latter can land on 
water without danger and remain afloat for a sufficiently long time. 
As a consequence, a multimotored airplane would rarely be so com- 
pletely crippled as to be unable to get back on the air lane. If such 
were the case, however, the damage is certainly irreparable with 
the facilities at hand, and the ability of the hydroplane to take off 
again does not therefore give it any marked advantage. 

Finally, the operation of taking on and discharging passengers is 
much slower with a hydroplane than with an airplane. 

These are then sufficient reasons to explain my preference for the 
airplane in the form of a marine airplane; that is, one being able 
to land on the water and even to take off again if lightened. 


AIRPLANE CARRIERS 


A few words should be said about airplane carriers, which some 
propose instead of floating islands. They would not be able to 
render the same services, for in the first place the reduced dimensions 
of their platforms, although sufficient for combat or reconnaissance 
airplanes, would not be so for the great commercial airplanes heavily 
loaded. Furthermore, they could be used only with difficulty in bad 
weather, as like all boats they follow the motion of the waves, and 
the necessity of having their boilers always under pressure to pre- 
vent drifting would make their use very burdensome. I will not 
therefore speak of them further. 

On the map (pl. 1) you see the proposed positions of the sea- 
dromes, in particular the four which will make the bridge between 
Europe and North America. You see that the distance which sep- 
arates them, and from them to the continents, is 600 to 650 miles, say 
about 1,000 kilometers. 


WINGS OVER THE SEA—BLERIOT 461 


FINANCIAL PLAN 


Permit me now to give you some details on the financial side of 
the enterprise. Each island will cost about 110 million francs, say, 
for the four, 440 millions—let us put down 500 millions. How will 
this capital be rewarded? It will be: 

1. By the mail: Of the 3,000 tons of letters now carried it is esti- 
mated that 500 tons would be destined for airplanes; of the 26,000 
tons of packages and printed matter it is estimated that 800 tons 
would go by air mail. Two-sevenths of the receipts will go to the 
floating islands and will yield 90 million francs a year. 

2. By passengers: Statistics say that the North Atlantic is crossed 
every year by about a million travelers, of whom about 80,000 use 
the modern steamships, paying for the crossing an average of 7,500 
francs each. By airplane the cost would be about 5,250 francs, of 
which 1,050 would go to the credit of the seadromes. We predict, 
for all countries, in normal use, four trips a day in each direction, 
each airplane carrying an average of 20 passengers. This would 
make, therefore, 160 passengers a day, or an income of 60 million 
francs a year. 

The other receipts would come from the sale of gasoline and oil, 
from the renting of hangars and stores, from hotels, etc., and their 
increasing total is estimated at 12 million francs a year. 

The total revenue of the four seadromes thus reaches 170 million 
francs. From this income there should be deducted about 30 million 
francs for operating expenses, the salaries of the personnel, and in- 
surance premiums. There remains, in the end, a net revenue of 140 
million francs a year on an invested capital of 500 millions; it is 
therefore a good paying proposition. 

For its realization there is proposed a national association for each 
country, which will construct one island. This project will provide 
employment for 3,000 or 4,000 workmen for 18 months. The different 
associations will belong to an international association, administered 
by either the League of Nations or the International Aeronautical 
Federation; its island and the operating company will pay to each 
of the national associations its part of the benefits. 

The amount of the capital involved, as well as the newly created 
relations between the coastal nations, will assure the internationaliza- 
tion of this affair. These same reasons will also be a sufficient guar- 
antee against the eventuality of a competing line using other floating 
islands. 

CONCLUSION 


I will close this article by insisting, once more, on the great impor- 
tance of the regular aerial crossing of the North Atlantic, an im- 
portance which can be compared only to that of the Suez or the 


462 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Panama Canal, with this difference—that it will be realized in a 
much shorter time. The question is no longer whether or not the 
regular aerial crossings of the North Atlantic will be made, but 
whether France will have in it the place which she deserves. Some 
believe the plan to be too bold—but audacity, when it is deliberate, 
is the mother of all progress; it alone is capable of putting in the 
vanguard of civilization the countries, young or old, whose energies 
have not yet been sapped by the seductions of the policy of least 
effort. 

The great sacrifices of her pilots have earned for her first place 
in the great competition which is coming; let France understand and 
let her not be outdistanced ! 


Smithsonian Report, 1935.—Bleériot PLATE 1 


| 100" ww 20 


—————— = = Wa 


HUDSON HAY 


SEADROMERGUTE 
OVER TIHE NERTH ATLANTIC 


Jan 14s 


a as (SE aa ae ETE 
ral Seti 
eee 


1. PROPOSED FACILITIES FOR THE NORTH ATLANTIC. 


The circles represent the islands which form landing places; the dotted circles, intermediate islands. 
The average distance between these islands is about 600 miles. 


2. A TRIAL MODEL. 


This model, on 12 seale, gave results conforming to predictions. 


Smithsonian Report. 1935.—Bleériot PLATE 2 


1. ARMSTRONG SEADROME. 


Erection of central port section of seadrome in wet basin of shipyard. Section 134 feet wide by 410 feet 
long over all. Depth of water required for erection, 28 feet. 


2. ARMSTRONG SEADROME. 


Assembly of two central sections off shipyard. (Note end section being erected in background.) As- 
sembled sections 334 feet wide by 410 feet long over all. Draft 34 feet with all decks in place. Four 
assembled sections complete seadrome. About 26,000 tons of steel and iron is required for one seadrome. 


Smithsonian Report, 1935.—Blériot PLATE 3 


1. ARMSTRONG SEADROME. 


Completed seadrome with all equipment installed being towed to sea to anchorage site. Structure in shal- 
low draft condition. The draft in the open ocean will be increased to about 50 feet to give maximum 
stability. At towing draft, the deck will be 130 feet above the water line. Light draft displacement 
approximately 40,000 tons. The towing tugs will be assisted by the four propellers of the seadrome 
totaling 2,000 horsepower. 


2. ARMSTRONG SEADROME. 


Beacon station anchored on ocean air route, equipped to give rescue service, radio direction, and weather 
information. Length 218 feet, width 112 feet, draft on service duty 180 feet, towing or light draft 26 feet. 
Displacement when anchored on service duty 2,460 tons. 


Smithsonian Report, 1935.—Blériot PLATE 4 


1. ARMSTRONG SEADROME. 


A perspective view ofa seadrome on service duty showing immersed portion as well as that above the water. 
The elevator for taking planes from the landing deck to the hanger deck below is shown. 


2. ARMSTRONG SEADROME. 


Completed seadrome anchored on ocean airway. Landing deck 1,500 feet Jong, width at center 300 feet, 
at ends 150 feet. Deck 100 feet above sea level. Draft 210 feet. ‘Total displacement on service duty 
65,000 tons. 


Smithsonian Report, 1935.—Blériot PLATE 5 


2 e oe 
= Se i 5 
As Lge Va ee 

a) | Be ao a ~~Chorles Reberts 


1. ARMSTRONG SEADROME. 


Deck scene at seadrome no. 4 of the trans-Atlantic series. A junction point for traffic from Mediterranean 
ports and the Far East. Note plane elevator in foreground and coastal patrol flying boat overhead. 
Proposed Blériot airplane in foreground. 


2. ARMSTRONG SEADROME. 


Lower deck, containing hangars, repair shops, dwelling quarters for the crew, and hotel accommodations 
for passengers. 


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THE COMING OF MAN FROM ASIA IN THE 
LIGHT OF RECENT DISCOVERIKS * 


By ALES HRDLICKA 
United States National Museum 


[With 1 plate] 


The chief deduction of American anthropology, in the substance 
of which all serious students concur, is that this continent was peo- 
pled essentially from northeastern Asia. The deduction is based on 
the facts that man could not have originated in the New World, and 
hence must have come from the Old; that the American aborigines 
are throughout of one fundamental race, the nearest relatives of 
which exist to this day over wide parts of northern and eastern 
Asia; and that the only practicable route for man in such a cultural 
stage as he must have been in at the time of his first coming to 
America was that between northeastern Asia and Alaska. 

The principle of the problem being thus settled, there remained 
the important details of when and just how man came to America; 
what he brought with him in the way of language, culture, and 
physique; how he proceeded in peopling the new continent after he 
had reached it; and what were the genetic relations of the Eskimo 
and the Indian. 

On all these large questions new light has been shed by recent 
explorations in the far Northwest under the auspices of the Smith- 
sonian Institution. Initiated by the author in 1926, these explora- 
tions have now been carried on in Alaska for 9 years, and in some 
years by two separate parties. They comprise systematic work both 
in physical anthropology and in archeology and have reached over 
nearly the whole of the western coasts, from Point Barrow to Kodiak 
Island, and over the principal islands of Bering Sea. They resulted 
in the location of a large number of old sites of habitation, in the 
collection of valuable skeletal materials from the entire region, in 
the obtaining of anthropometric data on the full-blood remnants of 
the living populations, and in the unearthing of unsuspected rich 

1 Reprinted with revisions (bringing article up to date) by permission from the Pro- 
ceedings of the American Philosophical Society, vol. 71, no. 6, 1932. 

463 


464 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


old cultures about Bering Strait, on St. Lawrence Island, on the 
lower east coast of Bering Sea, and on Kodiak Island. 

Thus, what until recently has been but a trail of theories through 
a jungle of possibilities is gradually becoming a broad road paved 
with substantial facts and determinations. The work is far from 
being finished, but it will not be long before the main questions at 
issue will have been answered. It may be well to state at once, 
however, that the evidence will not be of a simple nature, for wher- 
ever it has been possible to approach matters more closely they have 
invariably grown in complexity. Furthermore, it is also becoming 
plain that much of the desired direct evidence on human movements 
in the far North will probably never be uncovered. 

Before discussing the results, it may be helpful, with the aid of the 
accompanying map, to give a few details about the explorations on 
which they are based. 

They are to date briefly as follows: 

1926. Survey of the middle and lower Yukon River, upper Bering Sea, and the 
coasts to Point Barrow, by A. Hrdlicka. 

1927. Continuation of the work along the west coast from Bristol Bay to the 
Yukon, with particular attention to Nunivak Island, by Henry B. Collins, Jr., and 
T. Dale Stewart. 

1928. Excavations on the Punuk and St. Lawrence Islands, with collecting 
along the Seward Peninsula, by Collins. 

1929. Anthropometric and archeological work along 1,500 miles of the Yukon, 
by Hrdlicka, aided by J. Maly. Excavations at St. Lawrence Island, Point 
Hope, and other places, by Collins. 

1930. Anthropometric and archeological work along the Kuskokwim, by 
Hrdlicka. Excavations at St. Lawrence Island, by Collins. 

1931. Anthropometry and archeology of the Nushagak River and its tribu- 
taries, of the proximate parts of the Alaskan Peninsula, and on Kodiak Island, 
by Hrdlicka. Archeological work in the upper Bering Sea and the Arctic, by 
J. A. Ford and M. B. Chambers. 

1932. Excavations on Kodiak Island, archeological survey of the island, anthro- 
pometric study of the few surviving full bloods, by Hrdlicka. 

1934. Excavations on Kodiak Island, survey of parts of Cook Inlet and north- 
ern coast of Shelikov Strait, by Hrdilicka. 

1935. Excavations on Kodiak Island, survey of Takli Island, by Hrdlitka. 

The preliminary accounts of the work were published in the Smith- 
sonian exploration pamphlets for the respective years. More com- 
plete reports are the writer’s Anthropological Survey of Alaska (46th 
Ann. Rep. Bur. Amer. Ethnol., 1930) and Collins’ Prehistoric Art 
of the Alaskan Eskimo (Smithsonian Misc. Coll., vol. 81, no. 14, 
1929), with his Archeology of the Bering Sea Region (Smithsonian 
Rep. for 1933). The main parts of the collections and data are still 
under elaboration, and many years must elapse before the results can 
be fully given. But the essentials which these researches elucidate 
have already assumed a more or less substantial form, and they may 
briefly be summarized as follows: 


COMING OF MAN FROM ASIA—HRDLICKA 465 


The Bering Sea islands (barring the Pribilofs), the western coasts 
of Alaska, the lower courses of the western Alaskan rivers, the Penin- 
sula and the Aleutian, Kodiak, as well as other southwestern Alaskan 
islands, are all rich in “ dead ” sites or villages. These may be found 
at the mouth of every larger fresh-water stream and in other favor- 
able locations. Many of the sites were relatively small, the settle- 
ment having consisted of but a few dwellings, but some were rather 
large, with a population that reached well into the hundreds. The 
large majority have gone “dead ” since the Russian times, generally 
through epidemics, and show no material age. But there are some 
in which the house refuse reaches very considerable proportions, in 
instances as much as 15 to 20 feet in depth, and in which signs of the 
white men’s contact are either wholly absent or but superficial; such 
sites must go back for many centuries. 

Nothing whatever has been discovered so far, however, that would 
indicate any great antiquity. The total of the human remains that 
have become known to this day can undoubtedly be encompassed 
within what would correspond to the Christian Era, and mostly within 
the last half of it; and there has appeared to date nothing that would 
give hope of much earlier discoveries. In reality, the more the con- 
ditions in these regions are studied the fainter becomes the hope of 
ever finding anything more ancient, unless this be through some rare 
accidental discovery. The fact is that over most of the regions in- 
volved the ground on which human remains are now found is of more 
or less recent formation, and that older places on which man may once 
have been settled have been washed away, or so covered with silts or 
loess and jungle that to locate the remains is now impossible. 

The Bering Sea region as well as the coasts to the north of it are 
geologically alive, constantly cutting and building. The present 
coasts, the mouths of streams, the platforms suitable for man’s habita- 
tion, with rare exceptions, were not there 500 years ago, and 1,000 
or 2,000 years ago the whole map of these parts was different. 
Within the memory of living man whole sloughs (side streams) have 
been silted up and wooded, whole bluffs or villages with burial 
grounds cut away, while new channels, bars, islands, and dunes have 
been built. Not even the rocky banks and coasts have been spared 
the attrition by frost, wind, wave, and current. It is now only too 
evident that all expectation of finding in Alaska, through systematic 
work, the remains of the early migrants to America across Alaska 
must practically be abandoned. Thisis our main negative conclusion. 

But there is also much on the other side of the scale. 

Examination on the spot of the Bering Strait region shows plainly 
that, once man arrived in northeasternmost Asia, the passing over to 
the visible American side was not merely possible but. inevitable. 
The simultaneous conclusion is that not only was no land connection 


466 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


needed for such a passage but that had the same existed man would 
not have used it; he would have followed the much easier route over 
the water. 

The next major point that looms up conclusively is that the coming 
of man over from Asia to America could never have been in the 
nature of a single or large migration. Rude and barren as is the 
American territory nearest Asia, that on the Asiatic side is even 
ruder and colder and stormier, and as such it could never have accom- 
modated any large population. There could have been, therefore, 
but a few people passing over at any time. These might have in- 
fluenced the rest of their clan or group, but after that an interval 
would necessarily elapse before a new lot would reach the northeast- 
ernmost parts of Asia, from which it in turn could come to America. 
There could, therefore, never have been any large or continued 
migration into America, but only relatively small and interrupted 
dribblings over, but dribblings that went on over several millennia. 

Such parties as came must have been parties of people well ac- 
quainted with and provided for coastal navigation, for their move- 
ments as well as their main livelihood in Asia depended on such 
navigation. They doubtless had small individual, as well as large, 
or group, skin boats, the latter probably with a skin sail,? in which 
they could readily cross over. All this is shown by the inhabitants 
of the same region today, who in their skin boats cross over the strait 
whenever they need to without much difficulty; only now they have 
to return, for the American side is already peopled. 

The further problem was as to the movements of the newcomers 
after they reached the American side. 

To one viewing the map of western Alaska it would seem most 
natural that people coming from Asia would soon reach the delta of 
the Yukon, through this funnel pass into the interior, and from there 
to Canada, southern Alaska, and the rest of America. The actual 
examination of the Yukon, which is, indeed, a great artery, does not 
sustain this view. The river is 2,700 miles long. It has a swift cur- 
rent, its waters are often rough, and both it and its tributaries ascend 
toward very rugged, icy mountains, besides which its valley is so 
plagued during the summer with mosquitoes, gnats, and horseflies 
that all larger game leaves for the highlands. It was not impassable, 
and had doubtless been tried again and again, but that the peopling of 
America proceeded through its trough is neither probable nor sup- 
ported by any evidence thus far discovered. 

It appears much more likely that such moderate groups of fisher- 
men and sea hunters as reached America, finding no one in the way, 


?One such native “ umiak-pak”’ (large boat) with a square sail made of seal skin was 
seen by the writer near the Bering Strait as late as 1926. 


COMING OF MAN FROM ASIA—HRDLICKA 467 


proceeded with but short stops toward the “sun”, that is southward, 
skirting the inhospitable coasts until they reached the Peninsula. 
This, we now know, they found to be a regular sieve of passes with 
easy portages, and once over these the newcomers were in the Alas- 
kan Gulf, or in Cook Inlet, with the road to the east and the north- 
west coast relatively easy. This was a much shorter and much less 
difficult route than that up the Yukon would have been, and brought 
the Asiatic man much sooner to regions that offered him induce- 
ments for a more permanent habitation. The oldest habitations of 
that nature were, therefore, in all probability in or along the old 
Alaskan coast of Bering Sea and are not to be expected in other 
parts of Alaska; and, as the old coasts are gone, such sites should 
rather be looked for in the favorable spots of the western coasts of 
southern British Columbia and in Oregon, Washington, and Cali- 
fornia. The lower Frazier and Columbia River Basins and parts 
of California would seem especially propitious. 

The next large questions on which our explorations have already 
shed much light are those of what the Asiatic migrants brought 
with them to America in the way of language, physique, and culture. 

As to both language and physique, it may safely be assumed that 
if there were repeated comings of man, which view we have seen 
to be the most justified one, then there surely came also differences 
in language and physique, for no two ethnic or even tribal groups 
are identical in these respects. Of the fact that different physical 
types came in, we have already found sufficient evidence in the skele- 
tal remains recovered from the Bering Sea and adjacent regions, as 
well as elsewhere in America. 

As to languages, much can now be discerned which formerly was 
obscure. The former general opinion was that the many varieties 
of languages and dialects found in the two Americas were in gen- 
eral of American development, and this argument had repeatedly 
been used in support of a great antiquity of man on this continent. 
This was, it is felt today, a superficial and unnatural assumption. 
The probability, in view of the present light, is that a series of 
languages and dialects, rather than one language, were brought 
over from Asia, to differentiate here and diverge further under the 
influences of time, isolation, and other factors. Unless it is accepted 
that there was but a single coming of man to America, and that 
by one homogeneous group, the notion of the advent of but a single 
original language from Asia is impossible. 

The evidence of the skeletal remains, as well as that of the living, 
has a direct bearing on the problem of the physical differences in the 
newcomers. There are found in the two Americas at least five or 

36923—36——31 


468 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


six fairly distinct physical types of the Indian. These types naturally 
must have developed somewhere, and this may as well have 
been in America as elsewhere; but their characteristics, distribution, 
and stability all speak for an old differentiation, which, in some 
cases at least, must have been, it seems, pre-American. The remains 
in Alaska, nearest the source, show no such homogeneity as would 
accord with the conception of a unique original type. From the 
point of view of physical anthropology we are steadily becoming 
more convinced that the comers from Asia, though all of one large 
human stem, the yellow-brown, brought with them already con- 
siderable physical heterogeneity; and if this is true of physical 
characteristics, it is certainly true also of languages and culture. 
These are no speculations or theories but results of clearer insight 
into these matters arising from the results of the late explorations 
and accumulating materials. 

These explorations shed also a direct and remarkable light on the 
question of what the Asiatic man brought with him culturally. 

Up to very recently there prevailed among American scholars the 
notion that the American cultures were of essentially or even wholly 
American development. This would imply that the comers from 
Asia brought with them but a sort of undifferentiated simple culture 
on the basis of which the American developments took place; or that 
if they brought any specializations, these were forgotten under the 
new environment. The answers to this from our excavations are that 
the farthest Northwest, in as far as we can reach, is culturally rich and 
varied; that the oldest of the cultures there discovered, namely, the 
fossil-ivory culture of northern Bering Sea and of the northeastern 
Asiatic coasts, and the old culture of Kodiak Island, are not only the 
richest in forms that are the most beautiful as well as conventional- 
ized, but that they come in full-fledged and that their outstanding 
features may be followed deep into the American Continent; while 
other cultural evidences are appearing that connect directly on 
one hand with the neolithic attainments of Asia and on the other 
hand with numerous elements in the cultures of the northwest coast 
and farther southward, in the Southwest, Mexico, and even Cen- 
tral South America. These are no introductions into Alaska from 
the American side, for the oldest and best antedate the continental 
differentiations. They evidently appear initially in the north and 
were brought from Asia, where they must have had a long period of 
development. The cultural evidence of the late explorations shows, 
therefore, that the men from Asia were coming over not as a people 
without a culture, but already as carriers of well-advanced cultures 
of, in substance, the American type, and from which further Ameri- 


COMING OF MAN FROM ASIA—HRDLICKA 469 


can developments, according to differing needs and opportunities, 
could readily have taken place in different locations. 

As to the Old World ancestry of the American Indian it is ever 
more strongly indicated by the accumulating evidence that this con- 
nects with the earlier neolithic man of Asia and through him with 
the Magdalenian and Aurignacian man of northern Asia and Europe. 

A word, finally, as to the present aspects of the problem of the 
genetic relations of the Eskimo to the Indian. The Eskimo appears 
to be a later offshoot from the same old stock that gave us the Indian. 
He came later and in two subtypes, one nearer to, the other farther 
from, the Indian. The relation of the Indian and the Eskimo may 
best perhaps be represented by a hand with outstretched fingers. 
The diverging fingers are the different types of the Indian: the 
thumb, which should be double, represents the Eskimo. The 
thumb is farther apart but originates from the same hand, which 
is the old or paleo-Asiatic yellow-brown strain, a strain that gave 
us the ancestry of all the aboriginal Americans. 

The Smithsonian explorations in the far Northwest will continue. 
There is ahead still an enormous amount of labor. But the “prin- 
ciples” of the region are already appearing, and they promise to 
place, before long, many of our problems of American origins on a 
firm scientific foundation. 


SUMMARY 


Since 1926 the Smithsonian Institution has carried on renewed 
explorations and studies in Alaska relative to the origin of the 
American aborigines. 

These explorations, partly somatological and partly archeological, 
have thrown new and important light on the problems of the coming 
of man from Asia. 

The main indications are that man came over very gradually and 
disconnectedly over a long period of time; that he brought with him 
differences in type, language, and culture; that at least some of the 
culture he carried was already far advanced; that according to all 
indications he did not proceed to people America across the main- 
land, but by skirting the western and southern coasts of Alaska; and 
that the Eskimo, the last comer, in his two types is a blood relation 
of the Indian. 

The material evidences of the early comers may never be recovered 
in western Alaska, which has suffered important geotechnic changes 
since man’s arrival, and where, moreover, most of the ground, with its 
contents, is perpetually frozen. There is more hope along the Gulf, 
but especially along the western coasts of the continent, from British 
Columbia to California and Mexico. 


470 


1911. 


1912. 


1913. 


1914. 
1917. 
1917. 
1921. 
1925. 
1926. 


1926. 
1926. 


1927. 


1928. 


1930. 


1930. 


19380. 


1932. 


1935. 


ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


AUTHOR'S CONTRIBUTIONS TO THE SUBJECT 


The problem of unity or plurality and the probable place of origin of the 
American aborigines. Symposium, Sect. H., Amer. Assoc. Adv. Sci., 
parts History and Physical Anthropology; also Amer. Anthrop., vol. 14, 
pp. 5-12, 1912; also Trans. XVIII Int. Congr. Americanists, London, 
pp. 57-62, 1913. 


Remains in Eastern Asia of the race that peopled America. Smithsonian 
Mise. Coll., vol. 60, no. 16, 5 pp., 3 pls.; also Journ. Heredity, vol. 6, 


no. 2, pp. 79-91, 1915; translated into Russian in Trudy Troickosaysko- 
Kiachtinskago Otd. Imp. Rus. Geog. ObSé., vol. 15, pp. 70-75, 1912. 

Restes dans l’Asie orientale de la race qui 4 peuplé l’Amerique. Congr. 
Int. Anthrop. Archeol. Prehist., C. R. XIV sess., Geneva, vol. 2, pp. 
409-414. 

The derivation and probable place of origin of the North American Indian. 
Proc. XVIII Int. Congr. Americanists, London, vol. 1, pp. 57-62. 

Transpacific migrations. Man, vol. 17, pp. 29-30. 

The genesis of the American Indians. Proc. XIX Int. Congr. Amer- 
icanists 1915, Washington, pp. 559-568, 9 pls., 1 fig.; also Proc. II Pan 
American Sci. Congr., vol. 1, pp. 128-137, 1915-1916. 

The peopling of Asia. Proc. Amer. Philos. Soc., vol. 60, pp. 535-545. 

The origin and antiquity of the American Indian. Smithsonian Rep. 
1923, pp. 481-494, 17 pls. Rev. ed. 1928. 

The peopling of the earth. Proc. Amer. Philos. Soc., vol. 65, no. 3, pp. 
150-156. 

The race and antiquity of the American Indian. Sci. Amer., July, pp. 7-9. 

The people of the main American cultures. Proc. Amer. Philos. Soc., vol. 
65, no. 3, pp. 157-160. 

Anthropological work in Alaska. Explorations and Field-Work Smith- 
sonian Inst. 1926, pp. 187-158. 

The origin and antiquity of man in America. Bull. New York Acad. Med., 
vol. 4, no. 7, pp. 802-828. 

Ancient and modern inhabitants of the Yukon. Explorations and Field- 
Work Smithsonian Inst., 1929, pp. 187-146. 

Human races. Jn Human biology and racial welfare, pp. 156-185, New 
York, 1930. 

Anthropological survey in Alaska. 46th Ann. Rep. Bur. Amer. Ethnol., 
374 pp., 61 pls., 29 figs. 

The coming of man from Asia in the light of recent discoveries. Proc. 
Amer. Philos. Soc., vol. 71, no. 6, pp. 893-402. 

Melanesians and Australians and the peopling of America. Smithsonian 
Mise. Coll., vol. 94, no. 11, 58 pp. 


THE ANTIQUITY OF MAN IN AMERICA IN THE 
LIGHT OF ARCHEOLOGY * 


By N. C. NELSON 
American Museum of Natural History 


INTRODUCTORY 


The American aborigines have been the special object of interest 
to students of early man now for more than 400 years. During 
this interval, paradoxically enough, not only have the inherent prob- 
lems increased in number rather than diminished, but the point of 
view or angle of attack has shifted from time to time. On the whole, 
however, these shiftings have conformed to the developmental course 
of science in general; that is, they have tended from the more obvious 
to the less, from the abstract to the concrete—in short, from the 
essentially speculative to the distinctly empirical approach. 

At first, and for a long time, the question of origin held exclusive 
attention. Who was the Indian or whence did he come? The 
answers, contributed largely and of necessity by armchair students, 
have been many and amusingly varied, but the final reply still 
awaits the recovery of substantial archeological facts and need not, 
therefore, concern us much in this essay. By the middle of last 
century the more specific question of antiquity took precedence. 
How long had the Indian been in America? A wide range of con- 
tradictory and more or less startling replies have been furnished, 
for the most part by paleontological discoveries, and these it is 
proposed to sum up and to contrast in character and reliability with 
the available archeological data. Finally, some three or four decades 
ago, there came to the front the still more specific question of 
cultural development. What has been the Indian’s history since 
he came here? This is a distinctly archeological problem, one that 
can be settled only by painstaking search for the fragmentary relics 
scattered over the entire New World and by a rigid comparison of 

1 Reprinted by permission from The American Aborigines, Their Origin and Antiquity, 
a collection of papers by 10 authors, assembled and edited by Diamond Jenness and pub- 


lished as a Presentation Volume, on the occasion of the Fifth Pacific Congress, University 
of Toronto Press, Victoria, Canada, 1933. 


471 


472 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the resulting record with the similar record of the Old World. 
Naturally the time has not arrived for final conclusions; but enough 
facts are available already for what it is hoped may be a helpful 
preliminary statement. To this end it is the purpose here to sketch 
briefly the historical development of the problems involved, to pre- 
sent a summary of the evidence already at hand, and to draw such 
conclusions as seem warranted. 


HISTORICAL DEVELOPMENT OF PROBLEM 


THE PROBLEM OF ORIGIN 


As has been intimated, the first question which arose with respect 
to the American Indian concerned his identity or origin. It seems 
a natural enough question and the only one which at the time could 
be considered speculatively—that is, without waiting for the tedious 
accumulation of additional facts. But there was a specific reason 
why this question arose when it did; and because this early formula- 
tion of our problem, with its lengthy treatment, throws a revealing 
sidelight on the workings of the human mind, brief consideration 
seems irresistible. 

To the pagan and unschooled Norsemen of the year 1000 the 
trans-Atlantic savages appear to have presented no particular his- 
torical problems. To the more sophisticated Columbus of 1492— 
however puzzled he may have been—these same or similar savages 
were obviously and necessarily Asiatics or, more precisely, Indians. 
But this semiempirical view of the great navigator suffered sudden 
and long eclipse at the hands of medieval scholarship, whose oppor- 
tunity came in 1513 when Balboa discovered the Pacific Ocean and 
thereby appeared to demonstrate that the continent reached by Co- 
lumbus was a New World, and its inhabitants likewise new and in no 
way accounted for by the ancient authoritative books handed down. 
The first result was that while the New World with its gold and other 
riches was accepted as reality, the truly human nature of its inhabi- 
tants was temporarily held in doubt. But, gradually, there arose a 
long succession of more or less speculative attempts to link the New 
World people with one or another of the Old World nations and to 
account for their presence in America by migrations, necessarily in 
relatively recent or so-called “ historic times.” Needless to state, sev- 
eral of these argumentative demonstrations still have their adherents, 
and the latest of them—a modernized version of an old theory—traces 
all that is worth while in native American physique and culture to 
Kgypt. 

Parenthetically, this attitude of mind and general course of 
thought development may be readily enough understood when we 
recall that European scholars were steeped in ancient history and 


ANTIQUITY OF MAN IN AMERICA—-NELSON 473 


tradition, which divided the known world into three parts—Kurope, 
Asia, and Africa—and recognized only three corresponding great 
racial groups of mankind, the descendants, respectively, of Shem, 
Ham, and Japhet. With the psychologically fascinating specula- 
tions flowing largely from these premises concerning Indian origins 
we are not now directly concerned; but it is only tardy justice to 
Columbus to state that the latest consensus of scientific opinion tends 
to vindicate his practical judgment as to the Asiatic affinities of the 
American Indians, 


THE PROBLEM OF ANTIQUITY 


The question concerning the length of time the Indian had resided 
in America could scarcely have been formulated as a distinct or 
vital topic until after the year 1858, when the truly geologic an- 
tiquity of mankind in general was finally admitted by European 
scientists. To be sure, already a full century before that date re- 
ports had been published, for example by Peter Kalm,? of early 
eighteenth-century archeological discoveries in New Jersey which 
hinted strongly of Quaternary age, but neither these nor the similar 
and better authenticated finds in Europe at about the same date 
(1700) received serious attention. As late as 1835-44, a Danish 
naturalist * discovered in six separate Brazilian caves near Lagoa 
Santa no less than 30 human skulls and skeletons, as well as traces 
of artifacts in apparent association with the bones of living and 
extinct animals; but as he himself was not entirely convinced of the 
contemporaneity of his associated finds, the occurrence appears to 
have excited no particular attention. Even the numerous alleged 
implemental and skeletal finds in the Tertiary gold-bearing gravels 
of California during the 1850’s passed unnoticed. ‘The time was not 
ripe for frank consideration, except by a few isolated investigators. 
However convincing such discoveries appeared to the common man, 
who presumably did not perceive their full implication, the medieval 
scholars could not entertain their reality, and the foremost among 
the scientifically minded, like Cuvier, hesitated in spite of the accu- 
mulating evidence and resorted to every kind of explanation except 
the obvious one. 

Parenthetically again, we may pause briefly to consider the 
dilemma in which the men of learning, who relied implicitly on the 
received ancient authorities, found themselves. Pagan classical 
authors, it is true, had written vaguely about the early use of stone 
implements, but Hebrew tradition was silent on the subject. H, 

?Kalm, Peter, Travels into North America, 2d ed., vol. 1, pp. 277-280, London, 1772. 

’Lund, P. W., Blik paa, Brasiliens Dyreverden, etc., Kong. Dansk. Vid. Selsk. Nat. Math. 
Afh., Niende Deel, pp. 195-6, Kjébenhayn, 1842. For English digest of Lund’s views 


see A. Hrdli¢éka, Early man in South America, Bull. 52, Bur. Amer. Ethnol., pp. 153-65, 
1912. 


474 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


therefore, the reality of a past stone age was demonstrated in 1836 
for northern Europe, and if the inhabitants of America and other 
parts of the newly discovered world were carrying on practically 
without the use or knowledge of metals, the facts could be explained 
only as the results of degeneration from the original advanced state 
of culture indicated in the Book of Genesis. As for a prehistoric 
period of human existence, reaching back into earlier geologic times, 
that was clearly impossible; and when discoveries were made which 
demonstrated Quaternary age, such as human relics associated with 
extinct animal remains laid down in caves or in river deposits, the 
occurrences were finally explained as the obvious results of the 
Noahic flood. But, as stated, the old theory of origin by creation, 
barely 6,000 years ago, at last gave way before the accumulated facts 
which it could not explain; and, in accordance with the new evolu- 
tionary conception of life and culture, search for evidences bearing 
on the extended prehistoric antiquity of man became almost at once 
world-wide. 

The immediate outcome of this newly acquired freedom of inquiry 
and of interpretation was in some respects disastrous, both in Europe 
and in America. In Europe, inside of a decade, crude flints resem- 
bling artifacts, and as such called “ eoliths ”, were uncovered which 
it was thought proved the reality not only of Quaternary man but 
of a very much earlier tool-using being. At the present time 
such puzzling evidence has been recovered from even the Eocene for- 
mations—that is, from the very beginning of Tertiary times, 
when mammalian creatures were only just coming into being. The 
result is, naturally, a division of opinion and occasional violent 
controversy. 

In America the apparent course of progress has been still more 
startling. Inspired and instructed by European discoveries, our 
enthusiastic students, professional and amateur, began shortly to 
search for relics either of the same type or of equal antiquity, and, 
as might be expected, soon found both kinds of evidence. With 
respect to antiquity Prof. J. D. Whitney, State geologist of Cali- 
fornia, led the van. Stimulated perhaps by the alleged discovery of 
the famous Calaveras skull in 1866, he began that year to investi- 
gate the many and seemingly well-founded current rumors of hun- 
dreds of archeological finds made by gold miners during the pre- 
ceding decade deep in the gravels of the Sierra Nevada slopes, and 
in 1879 concluded a fairly exhaustive report by declaring his belief 
in the reality of Pliocene, if not actually Miocene, man in Cali- 
fornia. At about the same time Middle America‘ supplied a num- 


“Whitney, J. D., Auriferous gravels of the Sierra Nevada of California, Contributions 
to American Geology, vol. 1, Mem. Mus. Comp. Zol., pp. 288-321, Cambridge, 1880. 


ANTIQUITY OF MAN IN AMERICA—NELSON 475 


ber of suggestive finds, which, however, have never been verified.® 
South American investigators were not far behind, and in 
the person of Florentino Ameghino, director of the Natural History 
Museum of Buenos Aires, showed even greater zeal and courage in 
relation to human antiquity. Beginning about 1870, this able pale- 
ontologist made known a long series of discoveries, somatic and cul- 
tural, from the local Pampean and earlier formations, which were 
held to prove the long contemporaneity of man and of various ex- 
tinct animal species in Argentina. He dated some of these archeo- 
logical discoveries clear back to Eocene times, and ended by claiming 
that the world’s mammalian fauna, including man and his fore- 
runners, had originated in South America.® 


THE PROBLEM OF CULTURAL DEVELOPMENT 


Up to this time the investigations had stressed the antiquity rather 
than the typology or characteristics of the archeological objects 
discovered; but during this same eighth decade of last century men 
with little or no paleontological experience, but correspondingly 
more familiar with cultural data, came forward. As early as 1872, 
Dr. C. C. Abbott announced his discovery of implements of Pale- 
olithic type in both the supposed early postglacial and the under- 
lying glacial deposits on the east bank of the Delaware River, imme- 
diately below Trenton, N. J.7. This double-count claim was defended 
with increasing vigor by its discoverer for nearly 40 years and 
gained several adherents among the leading scientists, such as Prof. 
Marcellin Boule, of Paris, and Prof. F. W. Putnam, of Harvard 
University ; yet although independently investigated time and again, 
its full significance has never been satisfactorily determined. 

In the course of the following decade other champions of early 
man in America appeared, the most radical being Curator Thomas 
Wilson, of the National Museum in Washington, D. C., who ventured 
to offer a demonstration of the presence of the Paleolithic industry 
on purely typological grounds.* Mr. Wilson, incidental to extended 
residence in Europe, had obtained first-hand acquaintance with the 
stone implements typical of the Lower Paleolithic, in particular the 
so-called “ coup-de-poing ” or hand ax, and on returning to America 
he immediately proceeded to look for similar implements here. The 


5See E. G. Tarayre (and E. T. Hamy), Arch. Comm. Sci. Mexique, vol. 2, pp. 6, 7, 409, 
ete., Paris, 1884. 

®T am not familiar with all of Ameghino’s original papers, but a summary of part of 
the evidence is supplied by Outes and Bruch in a book entitled “Los Aborigines de la 
Republica Argentina”, Buenos Aires, 1910. For a good English summary, see M. Boule’s 
Fossil men, pp. 413-87, Edinburgh, 1923; also Hrdlicka, op. cit. 

7 Abbott, C. C., The Stone Age in New Jersey, Amer. Nat., vol. 6, 1872; Primitive 
industry, Salem, 1881; Ten years digging in Lenape Land, Trenton, 1912. 

8 Rep. U. 8S. Nat. Mus., 1887-8, pp. 677-702, 1890. 


476 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


national collections at once yielded him several hundred likely ob- 
jects, many of them actually labeled “ Rude and unfinished imple- 
ments of the Paleolithic Type” and derived from practically all 
sections of the United States, including a few from the environs of 
Washington itself. Private collectors supplied many more speci- 
mens, gathered principally from the hills in and around the Capital 
City; and a personal visit to the local sites thus indicated revealed 
these rude “implements ” in great profusion and added a round 300 
items to his series, making a total of 745 for the District of Columbia 
alone and a grand total for the country of about 1,400 specimens. 
Highly gratified, Curator Wilson’s comparative studies next em- 
boldened him to state that our American coups-de-poing were not 
only similar to those of Europe but identical with them in both form 
and purpose. On the strength of these observations he sent out in 
1888, under the auspices of the Smithsonian Institution, an illustrated 
circular calling for additional information. It came quickly in 
the shape of 209 replies, 33 of them accompanied by actual speci- 
mens. As a result, a table was published in the cited report which 
purports to demonstrate the existence of Paleolithic implements in 
35 of the United States and Territories, as well as in the adjacent 
Canadian Province of Ontario, and which places the number of speci- 
mens then available in the National Museum at 1,739 and the total 
reported upon at the grand figure of 8,501. 

Meanwhile, during this same ninth decade, conservative as well 
as critical students made their timely appearance. Among the first 
the most formidable, or at least the best informed, was Prof. H. W. 
Haynes, of Boston. Like Wilson, he was conversant with the details 
of European archeological investigations, claimed to have discovered 
the first known paleoliths in Egypt, and was the possessor of person- 
ally made prehistoric collections from various parts of the eastern 
United States. On the basis of his study of these latter data he 
expressed himself as convinced that our rude American implements 
occurred in isolation and that they were not of Indian origin; but 
at the same time he was not prepared to vouch for their true Paleo- 
lithic character and still less for their geologic antiquity.® 

The real opposition was led by Prof. W. H. Holmes, of the Bureau 
of American Ethnology in Washington, D. C., who, according to per- 
sonal communications, stepped into his role of critic in the late 
eighties as a direct result of the claims made by Thomas Wilson and 
F.W. Putnam. In the course of the next 10 years he patiently inves- 
tigated, or reinvestigated, not only the District of Columbia sites but 
many other more famous localities throughout the country, including 


® Proc. Boston Soc. Nat. Hist., vol. 21, p. 382, 1882. See also Haynes and others in 
Justin Winsor’s Narrative and critical history of America, vol. 1, part 2, pp. 329-412. 


ANTIQUITY OF MAN IN AMERICA—-NELSON 477 


Trenton, N. J., and the gold-bearing gravel sites of California; and 
as a result he “challenged the whole body of American paleolithic 
‘evidence’” and at the same time the evidence for geologic antiquity. 
The Californian claims were, with one exception, disposed of as either 
accidental inclusions or frauds,’ while the District of Columbia sites 
were demonstrated to be quarry and workshop locations and their 
numerous so-called “paleoliths” to be nothing more than blanks 
(unfinished implements) and rejects." 

This all too brief sketch brings the development of American pre- 
historic investigations down to the beginning of the present century 
and within the memory of many of those actively at work in anthro- 
pology, so that little more need be said historically. For a time inter- 
est in the antiquity problem as such languished somewhat. Our 
steadily increasing number of archeologists busied themselves at first 
with the accumulation and study of data, leading. to a tentative deter- 
mination of culture areas and later to systematic excavations resulting 
in more or less definite chronologies for several of these areas. But 
meanwhile discoveries and arguments bearing directly or indirectly 
on the question of antiquity have not been wanting, especially during 
the last few years. Indeed, at the moment of writing (1931), all three 
aspects of the American Indian problem—origin, antiquity, and cul- 
tural development—are well to the front, and we may properly turn 
to a summary presentation of the accumulated evidence. 


TYPES OF EVIDENCE AVAILABLE 


The claims brought forward as having a bearing on the antiquity 
of man in America cover a wider range of phenomena, which for pur- 
poses of treatment it is necessary to group in some fashion. As evi- 
dence, some of the alleged facts are merely circumstantial; others are, 
in part, at least more than doubtful; still others are positive; and 
lastly, some are negative. It is not the writer’s ambition, however, to 
pose as judge until necessary, and accordingly the attempt will be 
made to present the various types of data under headings correspond- 
ing as far as possible to their respective spheres of origin—ethnologi- 
cal, paleontological, and archeological. 


ETHNOLOGICAL INDICATIONS 


For some time past, as knowledge of our living tribes has accumu- 
lated, a number of ethnologists have expressed themselves as convinced 
of man’s geologic antiquity in America on the grounds largely of what 


19 Holmes, W. H., Review of the evidence relating to auriferous Gravel Man in Califor- 
ni@, Smithsonian Rep. 1899; Pitfalls of the Paleolithic theory in America, Proc. 20th 
Int. Congr. Americanists, pp. 171-75, 1922. 

4 Holmes, W. H. Stone implements of the Potomac-Chesapeake tidewater province, 
15th Ann. Rep. Bur. Amer. Ethnol., 1897. 


478 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


he has accomplished, or stated more broadly, on the great variety of 
cultural and somatic phenomena presented by the continent. Some 
of these expressions, to be sure, were prompted by suggestive paleon- 
tological discoveries, like those at Vero and Melbourne in Florida, 
since 1915; but none, so far as known, have covered the various aspects 
of the subject sufliciently to warrant citation. Selecting, therefore, 
from scattered written sources, as well as from current ideas, and 
adding such personal views as seem justifiable, the ethnological argu- 
ment may be presented in bare outline under the recognized anthro- 
pological categories of bodily physique, language, social organization, 
and material culture. 

Under the caption of “ material culture” it should be pointed out 
that the New World, with the exception of Iceland and possibly 
Greenland, when first discovered, was found populated from one end 
to the other; the inhabitants were acclimatized from the Arctic and 
near-Antarctic to the Tropics, from sea level to the highest habitable 
altitudes; they had been in residence long enough to have arrived 
at notions of tribal boundaries and to have acquired extensive 
knowledge of their distinctive habitats as to flora, fauna, and 
mineral resources; indeed, so complete was the adjustment between 
the aborigines and their widely differing types of environment— 
littoral, jungle, woodland, plain, desert, elevated plateau, and 
mountain fastness—that it had produced no less than 28 distinguish- 
able archeological culture centers, some of them of such com- 
plexity and strength that they are still functioning. In the in- 
terval, also, various arts and industries were developed, some of 
them—as for example irrigation, metallurgy, architecture, sculpture, 
ceramics, and textiles—to very high degrees of excellence; numerous 
wild plants were brought under cultivation and practically all the 
suitable native animals domesticated; and as proof of all these 
labors there were produced and left behind impressive ruins, 
earthworks, and accumulations of refuse, as well as minor artifact 
remains of stone, bone, shell, and metal, in number and quantity 
beyond present estimation. Not least important in this connection 
are the indications that most of this remarkable development was 
independent of Old World influences. 

Concerning the aspect of social organization as developed in 
America, whether political or religious, the writer hesitates to offer 
characterizations, being insufficiently familiar with the real nature 
of the facts called for. The number and variety of phenomena are 
obvious enough, however. Ethnologists have distinguished in the 
New World no less than 368 major tribal groups with countless 
subdivisions; but just what relation, if any, these entities bear to 


ANTIQUITY OF MAN IN AMERICA—NELSON 479 


the linguistic and somatic classifications is not clear. It is a matter 
of common knowledge, however, that group control, both temporal 
and spiritual—if separable—varied from the simplest imaginable 
to the highly complicated, from a barely recognized leader or chief 
to hierarchical authority, with corresponding states of organization 
ranging from practical anarchy among the Eskimo through such 
intertribal affiliations as the League of the Iroquois in northeastern 
North America and the military theocracies in Middle America to 
something like communistic despotism in Peru. 

In reference to American linguistics it is necessary to defer to the 
specialists on practically all points. These investigators would ap- 
pear to have held for some time the view that the Indian as a group 
has not only been so long removed from the Old World that his 
speech affinities in that quarter are no longer recognizable, but also 
that he has been at home in the New World long enough to have 
evolved about 160 linguistic stocks or language families, with 1,200 
or more dialectic subdivisions. Presumably, however, some of this 
language diversity may be due to migrations from different linguistic 
areas of the Old World. 

Under the heading, finally, of somatics, it may be mentioned that 
the native population of the New World has been variously estimated 
at figures ranging all the way from 5 millions (Thomas Wilson) to 
50 millions (Kroeber). Some groups being practically out of reach, 
as, e. g., in the Amazon region, and, therefore, not adequately studied, 
the precise number of distinguishable physical types can scarcely be 
given, but the general conditions pertaining to physical character- 
istics are similar to those obtaining with respect to linguistics: the 
Indian type is distinguishable in one way or another from its 
nearest Mongoloid relations and at the same time is separable, accord- 
ing to some authorities, into about 10 more or less distinct varieties, 
which, as in the case of languages, may or may not have developed 
since immigration took place. 

All of these more or less indisputable facts, regarded as phases of 
the normal cultural and biological processes, are uniformly held to 
have required a long period of time for their accomplishment. With 
this assumption no issue need be taken; but the question may prop- 
erly be asked—how much time? This is not the occasion for arguing 
the point, still it is tempting to remark in passing that if the glory 
which was Egypt’s arose and fell in about 3,500 years—and we have 
very similar histories for Mesopotamia, China, and perhaps India— 
then there is at least some ground for the supposition that the ad- 
vanced cultural developments exhibited by Peru and Middle America 
may not much antedate 2000 B. C. And as for the entire known 


480 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


segment of the culture curve phenomenon represented in America, 
viz. the Neolithic phase and what follows, its counterpart in the Old 
World has never been estimated to range beyond 20,000 years,'* while 
of late the figure has by some been reduced to about 7,500 years.'* 
Unless, therefore, we choose to assume that the American Neolithic, 
with all it implies, arose full fledged out of nothing, it must have 
been derived from Old World beginnings and consequently be of 
somewhat later date, because time and space are both important 
factors in the normal spread of organic phenomena. 

Before leaving this topic of circumstantial evidences it should be 
remarked that the general question of the antiquity of man in 
America was long ago tentatively settled by European students. To 
them the demonstrated geologic age of man and of his immediate 
precursors in the Old World has seemed sufficient warrant for claim- 
ing approximately equal human antiquity for the New World. And 
certainly, if a tool-using primate did actually exist in Eurasia, as is 
claimed by Rutot and others, so far back as early or even middle 
Tertiary times, it becomes rather hazardous to dispute the probability 
of this creature’s entrance into the two Americas. Especially is this 
true when it is known not only that some of the contemporary animal 
species, like the horse, the camel, and the elephant, migrated both 
to and from the New World, but also that the present floral and 
faunal genera and even species of Eurasia and North America are 
in large part identical..* Naturally, therefore, the recent discovery 
of the Peking man in northeastern China has somewhat strengthened 
this broad claim. But, in reality, the existence of middle Tertiary 
man in the Eastern Hemisphere is problematic, and the unique geo- 
graphic isolation of the American Continent, together with the glacial 
conditions which served presumably as a climatic barrier during much 
of Pleistocene times, cannot be ignored. Nevertheless, Sir Arthur 
Keith has lately reaffirmed his belief in the existence of evidence in 
America of truly ancient man;1° and one might go on indefinitely 
citing similar opinions, but it must suffice to add merely that such 
experienced authorities as L. Capitan and M. Boule have both frankly 
accepted some of our questionable North American artifact discov- 
eries as not only Paleolithic in form but as actually Pleistocene in 
date. In the circumstances we can do no less than turn to a brief 
consideration of these alleged discoveries. 

” Breasted, J. H. Scientific Monthly, 1919, p. 308. Similar estimates made by O. 
Montelius, R. Pumpelly, and others. 

13 Peake, H., and Fleure, H. J., in The Corridors of Time, vol. 3, pp. 140-143, Oxford, 
1927 ; Childe, V. G., The Most Ancient East, p. 13, New York, 1929. 

4 Warrand, L., Basis of American history, chapter 4, New York, 1904. 


% Keith, Sir Arthur, New discoveries relating to the antiquity of man, p. 29, New 
York, 1931 


ANTIQUITY OF MAN IN AMERICA—NELSON 481 


PALEONTOLOGICAL CLAIMS 


The interesting archeological contributions made from time to time 
by investigators in the related fields of paleontology and geology— 
contributions which have done more than anything else to forward 
the solution of the problem of the antiquity of man in America—are 
fortunately to be treated by a specialist. It is, therefore, not my 
intention here to consider this long series of tantalizing discoveries in 
detail, but rather to present the accumulated evidence in summary 
form so as to obtain something tangible on which to offer comment 
and likewise something with which to contrast our archeological 
findings. 

In the course of desultory reading extending over more than 20 
years, I have collected bibhographic references to alleged isolated 
archeological discoveries made in geologic deposits on a variety of 
occasions more or less accidentally. I have done this in the hope of 
sometime checking out the essential facts from the original publica- 
tions, and thus, perhaps, arriving at a definite conclusion on the 
subject of antiquity. At present the checked list of such recorded 
items totals 187, a figure which does not include several obviously 
absurd claims, such as a petrified sandal found in one of the second- 
ary formations of Nevada, or a flaked implement recently hoisted, 
it was said, from a Kansas oil well over 2,000 feet deep. Doubtless 
there are many more citations and they are increasing annually, 
especially since Science Service a few years ago assumed the burden 
of prompt and adequate preliminary investigation of all reported 
indications within the United States. Indeed, so numerous are these 
discoveries, ranging as they do from early in the eighteenth century 
to the present year, that only a bookworm or a confirmed cripple 
could have the incentive deliberately to run them down. Besides, 
my own ardor has been considerably dampened by the gradual 
realization that the final solution of the antiquity problem does not 
he in this quarter but in the original open field. The recorded data, 
as might be expected, turned out to be of very unequal scientific 
worth, and even those finds most positively vouched for—which 
sometimes prove entirely too much—cannot now be properly evalu- 
ated. Their significance in the end will depend upon new discoveries. 
Nevertheless, such as they are, these reported archeological discoveries 
are of considerable interest, if for no other reason than the fact that 
they were recorded and sometimes even brought to light by men of 
training and wide experience in their respective professions. In 
addition, they have been reviewed over and over again, favorably as 
well as unfavorably, by equally competent authorities. We are, in 


482 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


short, obliged to accept the facts as given, regardless of final inter- 
pretations. zs 

The geographic range of these problematic discoveries extends 
over the greater portion of the two Americas, continental and insular. 
A tabular statement must suffice as a bird’s-eye view of the distribu- 
tion, which is as follows: *° 


Canada) findS222. 2228 8 oe See ee a ne ee ee eee 3 
United States of America finds (37 States) (49 accompanied by fossil 

vie OWE) a ee Se SS ee SoS 136 
Mexico finds) (2 accompanied by, fossilftaund)=a2 222). 5 
Centrals*America findsi settee se Se ee Se eae eee 1 
Puerto Rico finds (2 accompanied by fossil fauna) ——~___-_______________- 2 
@ubamtinds (5saccompaniedsby.tossilbiauna) ! == == ee 6 
South America finds (18 accompanied by fossil fauna) —----_____-______-___- 34 


The geologic range of the data in question is equally great and, 
literally accepted, far more impressive. Without pretending to sup- 
ply all available details, and without mentioning the more extreme if 
not absurd claims, the followimg summary may be said roughly to 
indicate the horizons of the apparently legitimate findings to date: 


Surtees 17 
Recents Bogs, Springs) Sand?! dunesy l0eSs2228 2) Se eee 11 
Pleistocene: Glacial drift, loess, Pampean formation___________--__-___-___ 84 
Pliocene: Auriferous gravels, pre-Pampean formations____--__-_____----_ 32 
Miocene: Auriferous gravels, pre-Pampean formations____---___________-_ vé 
Qligocene.-2 25 = oak ea ee eee 1 
YOY 30 0 = peepee eho eh On ep aaa ato AR teen tic ie ro ei A ieee ies Oe 2 
Jndetemminate,2*) 3201 28s. ee 2k Ve, ee eee 23 


There remains to indicate the general character of the human relics 
thus distributed in time and space. As elsewhere in the world, the 
American discoveries comprise both skeletal parts and cultural ob- 
jects made of such relatively imperishable materials as stone, shell, 
bone, burnt clay, and charcoal—anything at all indicative of human 
artifice and, therefore, commonly grouped under the comprehensive 
term “artifacts.” In presenting the list it may be instructive not 
only to separate the individual occurrences according to the general 
nature of the situation in which they were found, whether on the 
surface of the ground, in cave deposits, or in ordinary open-air 
geologic formation, but likewise to indicate the presence or absence 
of associated extinct animal remains, which are normally regarded as 


16Jt is impractical here to cite the original sources, but nearly every treatise on 
American archeology supplies some, either first or second hand. See, for example: 
Beuchat, H., Manuel d’archeologie americaine, Paris, 1912; Hay, O. P., Amer. Anthrop., 
vol. 15, pp. 1-86, 1918; Hrdlicka, A., Bulls. 33, 52, 66, Bur. Amer. Ethnol., 1907, 1912, 
1918; Wright, G. F., Man and the glacial period, 1912. 


ANTIQUITY OF MAN IN AMERICA—NELSON 483 


affording a clue to the geologic age of the human relics. The dis- 
coveries and their contents thus classified are as follows: 


Surface discoveries: 
Artifact finds (excluding finds in 85 States accepted by Thomas 


Wall SOW) jee ee «1 i ods ee ee ee ee ge ed et eh ee 17 
Skeletal finds (1 accompanied by fossil fauna) —~_-~----_--___-__-___ 1 
Cave discoveries: 
Artifact finds (10 accompanied by fossil fauna) =-—-~=—-----_-=_ ===" = 11 
Skeletal finds (13 accompanied by fossil fauna) —--------_-----_-_-_-- 15 
Geologic discoveries: 
Artifact finds (34 accompanied by fossil fauna) .---.-_-_____________ 89 
Skeletal finds (18 accompanied by fossil fauna)—_-_-______-_________- 54 
Approximate total: 
Artifact finds (45 accompanied by fossil fauna) —---_--__-___________ 117 
Skeletal finds (31 accompanied ‘by fossil fauna) —-------~--__-_--_____ 70 
Totala(tiG.accompaniedaby, fossilifauna) ==. esse 187 


Finally, in order to round out our summary account, it seems fit- 
ting to add a list of the extinct or fossil organisms found associated 
with the anthropological remains. Such a list might very well in- 
clude a number of plants; but circumstances compel their omission 
and leave even the animal group incomplete both as to items and 
as to descriptions. The partial list includes: 


Antelope (Antilope maquinensis) Baromys sp. (rodent) 
Bear Chlamydotherium (armadillo) 
Bison (Bison occidentalis and one or Didelphis (opossum) 

two others) Eucastor (rodent) 
Camel Glyptodon 
Deer Grypotherium (ground sloth) 
Dog Hoplophorus 
Elk Hydrochaerus sulcidens (rodent) 
Fox Machairodus (saber-toothed tiger) 
Horse (Onohippidium, etc.) Megalocnus (ground sloth) 
Jaguar (Felis protopanther) Megalonyx (ground sloth) 
Llama Megatherium (ground sloth) 
Mammoth Mylodon (ground sloth) 
Mastodon Neomylodon or Giossotherium (ground 
Mink (Mustela macrodon) sloth) 
Musk-ox Platyonyz (ground sloth) 
Peccary Scelidotherium (ground sloth) 
Rhinoceros Smilodon (saber-toothed tiger) 
Tapir Toxodon (herbivore) 
Wolf 


This, then, is the formidable array of facts as alleged in the main 
by students of the fossil evidences of ancient life derived from the 
earth’s crust and by them put forward as a demonstration of the 


36923—36——32 


484 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


geologic antiquity of man in America. It is a body of data with 
which—apart from its human implications—the geologist and the 
paleontologist alone are competent to deal; but so astounding are 
its claims with respect to man that the archeologist is of necessity 
made suspicious. And his suspicion finds much to feed upon, for 
by confession of the paleontologists themselves the precise deter- 
mination of the age of any given geologic formation is sometimes a 
difficult matter, not always to be settled solely by the character and 
composition of the fossils it contains. Indeed, the paleontologists 
appear to recognize that biologic forms do not correlate uniformly 
with absolute time any more than do cultural typology and chro- 
nology for the archeologist; in short, that form and age, or life- 
periods and geologic systems, are two distinct concepts which must 
not be confused. 

To begin with, the paleontological discoveries relating to man 
in the New World prove entirely too much. Taken literally, they 
prove that the human or proto-human stock in America was sufli- 
ciently advanced to use tools already in early Tertiary times, i. e., 
about the time when the mammalian forms of the life are supposed 
to have made their first appearance; they prove that by the middle 
Tertiary this being had reached a stage of physical development in 
America equal to that shown by man in Europe for the first time 
toward the latter end of the Pleistocene; and they prove likewise 
that by the middle Tertiary human culture in the New World, as 
represented by chipped and ground stone implements, was on a level 
with that achieved for the first time in the Old World only about, 
7,000 to 10,000 years ago. Stated in another way, the alleged evi- 
dence goes to show that neither man nor his culture in America 
has changed appreciably since middle Tertiary times, while in 
Europe, Asia, and Africa such changes, though locally varied, have 
been more or less profound. The upshot of the whole matter is, 
therefore, naturally enough that the evidence cannot be—and rarely 
has been—taken at face value. Almost all of the finds have been 
disputed and in many cases satisfactorily explained away. But not 
all the finds have been thus disposed of, nor, indeed, can be, because 
the facts in several instances—as for example the peculiar lance 
points associated with skeletons of an extinct bison at Folsom, 
N. Mex.—are acceptable to all observers. Moreover, it is a curi- 
ous fact that though discoveries pointing to the geologic an- 
tiquity of man in America have been reported and either ignored 
or discredited for more than 200 years, they still keep coming in 
ever increasing numbers and in more and more carefully authen- 


ANTIQUITY OF MAN IN AMERICA—NELSON 485 


ticated form.’?. The final decision about the antiquity of man in 
America cannot, therefore, be very far off; but in the meantime the 
archeologist has taken his last stand in urging that these isolated 
archeo-paleontologic discoveries may not be as old as the associated 
faunal remains and the attending geologic conditions would seem 
to indicate. This stand the archeologist is forced to take on grounds 
which will be set forth in the following section. 


ARCHEOLOGICAL DATA 


In turning now to the sphere of archeology proper, namely, the 
investigation of strictly artificial deposits which testify to the pres- 
ence and activity of early man, we at once enter the field where the 
writer is most at home and arrive at the point of view from which 
the whole subject of the antiquity of man in America is regarded in 
the present essay. The body of American archeological data already 
recovered is very large, and, as those things go for the world as a 
whole, is derived from a notable variety of well-distributed sources. 
Our collections naturally are not of uniform scientific value, but 
much of the material excavated during the last 3 or 4 decades com- 
pares favorably with the best results achieved by foreign workers 
in their own fields. As a body of evidence illustrative of prehistoric 
life and culture, this material, when properly arranged with respect 
to time and analyzed with respect to the forms and functions of its 
various traits, is at once consistent with itself and also in reasonable 
agreement, as far as it goes, with the corresponding data from the 
rest of the world, but at the same time considerably at variance with 
the summarized claims of paleontology. To make clear the nature 
of this disagreement it will be necessary to outline briefly both the 
positive and negative archeological features which bear directly on 
the antiquity problem. 


POSITIVE EVIDENCE 


The simplest method of determining the general sequence of devel- 
opment of past biological phenomena is to observe the natural order 
in which the fossil remnants of the process are laid down in the 


17 Note appended 1935. Since this was written reports have been published demon- 
strating beyond question the association of cultural and extinct animal remains at 
Gypsum Cave, Neyv.; Burnet Cave and Clovis (gravel pit), N. Mex.; and Scottsbluff 
(loess deposit), Nebr. See respectively, Southwest Mus. Papers, no. 8; Mus. Journ. 
Univ. Pennsylvania, vol. 24, pp. 61-158; and Amer. Anthrop., vol. 37, pp. 306-3819. 
Searcely less important but only partially described skeletal and cultural finds have been 
made also at Pelican Rapids and Browns Valley, Minn., and at Dent and Fort Collins, 
Colo. See, e. g., Proc. Nat. Acad. Sci., vol 19, pp. 1-6; Science, vol. 80, p. 205; Proc. 
Colorado Mus. Nat. Hist., vol. 12, pp. 4-8, and vol. 14, pp. 1-4; and Science News Letter, 
Nov. 2, 1935, p. 277. 


486 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


stratified deposits of the earth’s crust. It is the method followed by 
paleontologists and paleobotanists; and, provided the enclosing crust 
is undisturbed and of reasonable thickness, it is obviously a fairly 
reliable mode of procedure. The archeologist of necessity utilizes 
the same stratigraphic principle in unraveling the time order of cul- 
tural phenomena, as laid down, however, only in the relatively small 
accumulations of artificial debris left behind mostly on the surface 
of the earth as byproducts of former human occupation. Such refuse 
deposits are available in countless numbers; are of several different 
types, residential and occupational; are found in both natural shel- 
ters and in open-air locations; and are distributed over nearly all 
the known habitable portions of the globe. In Europe, and to some 
extent elsewhere in the Eastern Hemisphere, these deposits have 
yielded a fairly complete record of man and of his doings from 
middle Quaternary times to the present. In America, if man was 
indeed living here also during these early days, it would seem that 
we might expect indications of the fact to occur in much the same 
manner as elsewhere and to the same extent. Let us review the 
available evidences. 

Number of culture deposits—As already remarked, the Western 
Hemisphere is richly strewn with monumental proofs of early human 
activity. Leaving out of account our many wonderful ruins and 
our stupendous earthworks as being of relatively recent date and 
of secondary importance for present purposes, we have left for 
consideration incidental accumulations of settlement and workshop 
debris in number and variety as remarkable as those of any other 
region of the world. These archeological features range from the 
Arctic through the Tropics to the sub-Antarctic, i. e., from the 
Eskimo territory of Alaska, Greenland, etc., to the almost equally 
inhospitable habitat of the now nearly extinct Onas and other 
primitive tribes of Tierra del Fuego. In the form of shell-heaps or 
kitchen-middens they line both our Atlantic and Pacific shores, 
while inland they occur as ordinary camp and village refuse, as a 
rule thinly spread out, but sometimes heaped up either in the open 
or concentrated within restricted limits of caves and rock shelters. 

Thickness of culture deposits—The actual thickness and volume 
of these culture deposits are of some significance, though naturally 
difficult to interpret in strict chronological terms. So far as known, 
American shell heaps appear not only to spread out horizontally 
rather more than those of the Old World, but they also exceed them 
in vertical dimension. Thus while heights of fully 30 feet have 
been personally recorded more than once, for instance, in the San 
Francisco Bay region, and a single pile in Florida was estimated at 
about 45 feet, and while doubtful reports from Brazil claim 100 feet, 
the extreme figure for the Old World—vaguely recollected as re- 


ANTIQUITY OF MAN IN AMERICA—NELSON 487 


ferring to Australian shell-heaps—is only 40 feet. The value of 
such comparison is, however, vitiated somewhat by two facts. For 
one thing, even if our American shell-heaps exceed, let us say, those 
of Europe in all dimensions, it must be remembered that the latter 
were abandoned some 2,000 to 3,000 years ago, while the former have 
been occupied practically to the present day. For the other, Ameri- 
can shell-heaps reveal only Neolithic culture traits, while those of 
Europe carry, for example, flint-working back to the Azilian 
(Mugem, Portugal) and even to the Solutrean (Altamira, Spain) 
phases of the industry. In other words, the shell-mound phenomena 
of Europe and America are not quite the same either culturally or 
chronologically. 

When we turn to the comparison of inland culture deposits, the 
case is still more unpromising. At Pueblo Bonito in New Mexico 
I once laid bare in an old, weathered, free-lying rubbish-heap a 
stratified section fully 16 feet in height,* and Dr. Kidder at the 
Pecos ruins in the same State has excavated a similar deposit, 
originally pitched over the edge of a cliff against which it rested 
as talus, measuring fully 20 feet in depth.1° Some of our Ameri- 
can caves in the Alleghany Mountains, in the Ozarks, in the Sierra 
Nevadas, and in the southern reaches of the Rocky Mountains have 
yielded debris formations of appreciable thickness, especially in the 
last-mentioned locality, otherwise known as the Cliff Dweller region 
of the Southwestern States. The extreme depth so far recorded I 
am unable to learn on short notice from the many active workers 
in the field, but it scarcely exceeds the 40 or more feet registered 
by the shell heaps.2° But this New World record is definitely ex- 
ceeded by that of the Old World on two separate counts: First, by 
the greater depths of the strictly corresponding Neolithic and later 
culture deposits of recent geologic date, and, second, by supple- 
mentary Paleolithic strata of Pleistocene date for which we have 
as yet no counterpart. By way of illustration, it may be cited 
that at Knossos, in Crete, the Neolithic stratum alone was 21 feet 
thick, and adding the later prehistoric accumulations representing 
the Bronze and Iron Ages, the total depth of culture debris was 
over 88 feet; ** at the Anau kurgan sites in Russian Turkestan the 
stratified rubbish rose to a combined total of 170 feet, of which 45 
were taken up by the Neolithic level; ?? and one mound at Susa, in 
southern Mesopotamia, according to the lowest of many published 


1% Nat. Hist., vol. 21, p. 14, 1921. 

1® Kidder, A. V., An introduction to the study of southwestern archaeology, pp. 18, 31, 
New Haven, 1924. 

20 Requests sent to several working archeologists for figures resulted in nothing definite. 

21 Evans, Sir A., The Palace of Minos at Knossos, p. 33, London, 1921. 

22 Pumpelly, R., Explorations in Turkestan, Carnegie Institution Publ. no. 26, p. 50 and 
pl. 5, Washington, 1904. 


488 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


figures, attained a height of about 100 feet, 65 of which were repre- 
sentative of the Neolithic culture.2* But that is not all of the Old 
World story, for below this tremendous thickness of Neolithic and 
post-Neolithic debris there lies, chronologically speaking, a no less 
impressive stratum of Paleolithic camp refuse, amounting at the 
Prince’s Cave in Italy to 5214 feet and at the Castillo Cave in 
Spain to over 55 feet.24 Clearly, the Old World was formerly 
ahead of the New as regards quantity of production, or else it 
had a very much earlier start. 

Geologic situation of culture deposits—The precise relations of 
these archeological deposits to their geologic and topographic sur- 
roundings are also of no little importance as affording possible clues 
to the passage of time. As stated, most of our rubbish heaps he 
actually on the surface of the ground or, what amounts to the same 
thing, in open caves. There are instances, however, here as in the 
Old World, in which the culture debris has been sealed up, as it 
were, in the earth’s crust by various natural forces—covered up, that 
is, by vegetal mold either on dry Jand or in water, by wind or 
water-borne deposits, by earth slides and lava flows, by stalagmitic 
formations, and even by the gradual accumulation of scaling or dis- 
integrating cave-roof material. Fairly common also are vertical 
coast-line movements, which by subsidence bring about the submerg- 
ence and, perhaps, subsequent silting over of cultural deposits and 
by elevation leave what were once beach settlements some distance 
higher up and inland. Some of these processes are accomplished 
only by slow stages, and in given situations consequently afford a 
rough estimate of time elapsed. 

The New World furnishes examples of all these indicated possi- 
bilities. Hearth sites and habitation floors have been reported di- 
rectly to the writer as occurring, for example, at some depth in the 
vertical banks of both the Missouri and Columbia Rivers, and he 
has himself observed minor indications of the same sort in various 
arroyos of the Southwest. -Possibly our much-disputed Trenton 
argillite or yellow soil culture may belong to this type of inhumation. 
Stalagmitic formations covering culture debris are not unknown 
occurrences in our caves, and we are just now waiting to learn 
exactly how much sterile cave debris has accumulated over the oldest 
apparent culture level in the Gypsum Cave being excavated in 
Nevada.”®> Partially submerged shell-heaps have been reported and 

3 De Morgan, J., Prehistoric man, p. 13, London, 1924. 

24 Obermaier, H., Fossil man in Spain, pp. 84, 162, New Haven, 1924. But meanwhile 
Tabun Cave in Palestine has yielded a culture deposit measuring about 70 feet in thick- 
ness. See Garrod, D. A. E., Exeavations at the Wady al- Mughara (Palestine) 1922-33, 
Bull. 10, Amer. School Prehist. Res., pp. 7-11, May 1934. 


25> Stock, Chester, Sci. Monthly, pp. 22-23, Jan., 1931; Harrington, M. R., The Gypsum 
Cave, etc., The Masterkey, vol. 4, no. 2, 1930; Sci. Amer., pp. 34-86, July, 1930. 


ANTIQUITY OF MAN IN AMERICA—NELSON 489 


are also personally known on both the Atlantic and Pacific shores 
of the United States; and, curious as it may seem, they agree in reg- 
istering a subsidence of about 17 feet.** As to evidence of shore 
elevation, such has been reported recently from the Hudson Bay 
region, where occur culturally distinct Eskimo habitation sites lined 
up on successive raised beaches.*? 

Some of these archeo-geologic facts are impressive enough con- 
sidered chronologically; but, unfortunately, the time involved is in 
nearly every case difficult if not impossible to gage. The most 
conspicuous instances of geologic action, as, for example, the coastal 
subsidences indicated, might have happened in a moment—at least 
in California; the flood plain deposits covering the hearth sites men- 
tioned might have resulted from a single torrential rainstorm. 
Stalagmitic formations depend upon a variety of unstable factors; 
and even the growth of a superficial layer of vegetable mold might 
have been affected by climatic fluctuations. To the writer, the most 
convincing phenomenon would be the covering accumulation of 
sterile floor debris derived solely from the disintegrating walls and 
ceiling of a dry cave; but, unfortunately, no precise figures are read- 
ily available on the subject. 

Broadly considered, the cited geologic relationships of the cultural 
deposits agree with the vertical dimensions attained by the artificial 
debris heaps as such in arguing for a really considerable period of 
time to account for what has taken place. But, after all has been 
said, we have nothing in America to compare with the similar arche- 
ological occurrences, for example, in the travertine deposits at 
Ehrinesdorf, Germany, in the loess formations at Achenheim, Alsace, 
and in the gravel terraces of the Somme at St. Acheul and at many 
other places up and down western Europe where hearth sites are 
preserved in situ. The Gypsum Cave looks promising; but, so far 
as now known, the sterile rock and cave earth stratum here covering 
the lowermost culture-stratum is thin in comparison with the similar 
accumulations found in many of the European caves. 

Fossil contents of culture deposits—When we examine the zoologi- 
cal contents of our stratified culture deposits we find other sugges- 
tions of age. In the case of some of the great shell-heaps it has 
been repeatedly observed that the shells making up the lower por- 
tion of the debris are more broken up and disintegrated than those 
of the upper part of the heap.?® It has also been observed, for 

76 Abbott, C. C., Primitive industry, p. 449, quoting G. H. Cook; Nelson, N. C., The 


Ellis Landing shellmound, Uniy. California Publ. Amer. Archexol. and Ethnol., vol. 7, no. 
5, pp. 364-6 and pl. 49, 1910. 


27 Mathiassen, T., Archeology of the Central Eskimos. Rep. Fifth Thule Expedition, 
1921-24, vol. 4, pt. 1, pp. 6 seq., 86, 129, 226 seq., Copenhagen, 1927. 

*8 Wyman, J., Amer. Nat., vol. 1, p. 571, 1868; Rau, C., Smithsonian Rep. 1864, p. 372, 
1865; Nelson, N. C., op. cit., p. 374, pl. 39. 


490 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


example, in Maine, that the living representatives of shell species 
found in abundance in the mounds are today in some cases ap- 
parently scarce and in other cases certainly smaller.” In other 
places, like Vancouver Island, no appreciable changes are said to have 
taken place during man’s presence; *° but at the northern end of San 
Francisco Bay the oyster presumably flourished during shell-mound 
occupation days, though it is now absent; ** and on the Pacific coast 
of Panama and adjacent parts of South America the culture deposits 
contain four shell species which have become locally extinct, one of 
them surviving at present only on the Atlantic side.*? Equally 
important suggestions are yielded by the mounds in the shape of 
vertebrate remains. Bones, e. g. of the extinct Great Auk ** and of 
a certain giant mink * are said to occur in the shell-heaps along the 
Maine coast; likewise bones of the locally extinct wild turkey and 
other game animals recently hunted down here, as in most of the 
eastern United States, by the white man. The inland culture de- 
posits in both caves and mounds rarely contain shell remains, but, 
as might be supposed, they are fully as rich as the littoral refuse 
heaps in bird and mammal bones. Nevertheless, in spite of all the 
apparently favorable circumstances, and in spite also of the reason- 
able expectations created by the cited paleontological discoveries, no 
extinct or fossilized animal remains of any real importance have been 
found in these artificial deposits. The partial exception is the pec- 
cary, which would appear to have been locally exterminated by native 
hunters of prehistoric times; but while the species is extinct in the 
United States, its bones as preserved in our Indian caves are not old 
enough to have undergone fossilization.*®> We are obliged, therefore, 
to dismiss this biological approach to our problem with the observa- 
tion that, like the aspects previously considered, it yields indications 
of moderate antiquity, but, as a whole, the evidence so far produced 
tallies with the observations made on such of the corresponding cul- 
tural deposits in the Old World as are by common consent accepted 
as of Holocene or Recent geologic date. 

Implemental contents of refuse heaps—As most important of all, 
we have finally to consider the nature and condition of the strictly 
cultural contents of our archeological deposits. If circumstances 
permitted, we should pass in review, as it were, in stratified chrono- 


22 Abbott, C. C., Primitive industry, p. 445. 

30 Smith, H. I., Nat. Mus. Canada, Ann. Rep. 1927, p. 45. 

31 Nelson, N. C., Shellmounds of the San Francisco Bay region. Univ. California Publ. 
Amer. Archeol. and Ethnol., vol. 17, no. 4, p. 337. 

82 Linné, S., Darien in the past, pp. 127-34, Géteborg, 1929. 

33 Loomis, F. B., and Young, D. B., Amer. Journ. Sci., vol. 34, pp. 24, 29, 1912; Wyman, 
de 20Ds Cit, paocse 

34 Loomis, F. B., Amer. Journ. Sci., vol. 31, pp. 227-29, 1911. 

35 Mercer, H. C., and Pilsbry, H. A., An exploration of Durham Cave, Pa., Publ. Univ. 
Pennsylvania, vol. 6, pp. 165, 173-8, 1897. 


ANTIQUITY OF MAN IN AMERICA—NELSON 491 


logical order, all the special contrivances made and used by the Amer- 
ican aborigines—their tools, utensils, weapons, ornaments, ceremonial 
objects, and whatever else of designed handiwork has been preserved 
in shape suitable for comparison with a like array of cultural traits 
from the Old World. Paired off in this way, trait by trait, the two 
markedly similar outputs of art and industry would visibly demon- 
strate three important desiderata, viz: (1) The approximate stage 
or level in the evolution of technological processes back to which our 
American activities extend; (2) what actual inventions had been 
made in the Old World prior to that level being reached; and (3) by 
inference from Old World conditions the approximate geologic date 
at which the invasion of the American Continent must have taken 
place. As it is, the desirable comparisons can be submitted only in 
the most general terms. 

In approaching this subject it is in order to remark that from the 
time of the first discovery of our widely disseminated living tribes 
their obvious localized cultural peculiarities and varying stages of 
general development have been noted and commented upon until, 
not long ago, Wissler and others, as before stated, tentatively divided 
their entire habitat into as many as 15 distinguishable culture areas, 
some of which were and are in large part special adaptations to 
differing geographic environment. Insofar as any chronological 
interpretations were placed upon this distributional phenomenon, 
it was tacitly assumed that the highly developed centers of culture 
were of relatively late origin, while the primitive centers were cor- 
respondingly older and represented the ancient conditions out of 
which the advanced cultures had sprung. When later on, about a 
century ago, archeological investigations began in earnest, it was 
soon discovered that in some ethnological culture areas the surviving 
trait peculiarities extended on into the prehistoric past with only 
minor modifications, while in other localities there were indications 
of complete or partial changes, in the form of new and altered fea- 
tures. In the latter situations it was natural to proceed as before 
in devising chronologic arrangements—genetic connections for the 
whole localized culture complex were assumed and schemes of rela- 
tionship worked out by placing the crude and generalized trait 
groups at the bottom and the refined or specialized groups at the 
top. By such simple methods of seriation tentative chronologies 
have been built up, for instance, for Peru and parts of Middle 
America. Nothing like a reliable history of culture could be estab- 
lished in this way, however, and it has remained for archeologists 
of the last three or four decades to demonstrate here and there the ac- 
tual time order of cultural events by strictly observing and recording 
the sequence of artifact phenomena as laid down in the stratified 


492 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


refuse deposits. This work, if not absolutely finished anywhere, 
has at least been carried a long way forward, especially in the South- 
western United States, including California; it is well under way 
in the Eastern States; and has recently been begun also in Mexico, 
where it offers and has already yielded promising results.** 

And what, it will be asked, are these results in which so much 
confidence appears to be placed? Briefly, the answer is twofold: 
We have, for one thing, made certain that some of our refuse deposits 
do nearly everywhere record definite modifications and, as a rule, 
advancements of the culture process; and, for the other, we have 
made almost equally certain that the earliest developmental stages 
represented by the bottommost levels of debris are not truly 
primitive. 

More specifically, concerning the first point, it has been reported 
by many observers over a long period that within the ceramic areas 
of both North and South America there exist refuse deposits, some 
of which contain pottery while others do not.*? Such a condition 
warrants the inference that the two occurrences are not of the same 
age, though it scarcely indicates which is the older. This question 
is settled, however, by the fact that refuse deposits have been ex- 
cavated in scattered sections of the United States, from the Atlantic 
to the Pacific, the lower levels of which register the positive absence 
of ceramics and the probable absence also of maize culture with its 
associated features, while the upper levels yield all of these elements, 
occasionally, as in the pueblo area, strung out in a long succession 
of graded steps marking presumably the whole period of human 
occupation.*® Whether or not anything similar has yet been found 
in South America is uncertain; but, in any case, the condition un- 
doubtedly exists stratigraphically, as it is known to do geograph- 
ically. The essential significance of this preceramic culture stratum 
seems to be that most of the United States at one time, like most of 
Canada today, was inhabited solely by a roaming population which 
lived entirely off the natural products of the land, and that the maize 
complex with its pottery, as well as certain flaked, chipped, and 
ground-stone implements, by slow stages crept over the country from 
the south and had already reached the St. Lawrence or its approxi- 


36 Vaillant, G. C., Excavations at Zacatenco. Anthrop. Papers Amer. Mus. Nat. Hist., 
vol 32, pt. 1: 

37 Personal observations by F. G. Speck and N. C. Nelson at Tadoussac, Quebec 
Frovince; Rau, Charles, Smithsonian Contr. Knowl., vol. 25, p. 225, 1884; Hawkes, E. W. 
and Linton, R., Pre-Lenape culture in New Jersey, Amer. Anthrop., vol. 19, p. 487, 1917; 
Linné, S., op. cit., pp. 52, 59, 271. 

38 HIarrington, M. R., The rockshelter of Armonk, N. Y., Anthrop. Papers Amer. Mus. 
Nat. Hist., vol. 3, pp. 125-36, 1909; Nelson, N. C., Contributions to the archeology of 
Mammoth Cave, Ky. (1917) and Chronology in Florida (1918), Anthrop. Papers Amer. 
Mus. Nat. Hist., vol. 22, pls. I and II; Harrington, M. R., The Ozark Bluff Dwellers, 
Amer. Anthrop., vol. 26, no. 1, p. 12, 1924; Roberts, F. H. H., Jr., Bull. 92, Bur. Amer. 
Ethnol., pp. 1-9, 1929. 


ANTIQUITY OF MAN IN AMERICA—NELSON 493 


mate natural limits in the northeast when America was invaded by 
the white man. 

As to the second point, viz, the general status and detailed char- 
acteristics of our early hunting culture, the answer must be less precise 
and categorical. The essential facts are not yet available for the 
eastern half of North America, though tolerably well in hand for the 
Ozark region and especially abundant for the Southwest and adjacent 
parts of Mexico, where the associated traits are termed the “ Basket 
Maker culture.” Basket Maker relics have been known for nearly 
half a century, but their importance as antedating the prehistoric 
Pueblo developments was scarcely appreciated until about 20 years 
ago, when Kidder and Guernsey took up their investigation in earn- 
est.82 The remarkable thing about this culture stratum, as now 
known, is that although it may be 3,000 or 4,000 years old, and is at 
least in part devoid of pottery and almost if not quite devoid of 
maize, positively lacking in bows and arrows, in chipped stone arrow 
points, grooved axes, etc., it is at the same time rich in basketry, in 
textile work—especially ornate sandals; in wood work—including 
spears and spear throwers; in ordinary bone work; in polished and 
drilled stone work, as exemplified by beads, pipes, etc.; and, lastly, 
in ordinary flaked and chipped stone work taking the form of lance 
points and knives. To these accomplishments may be added the pos- 
session of the domesticated dog and possibly the turkey. All in all, 
such are the taste and skill displayed by these primarily hunting 
folk that, however distant they may have lived in time, their achieve- 
ments rest on long prior developments not yet discovered. More- 
over, from the manner in which maize culture and ceramics gradually 
developed among them and their successors, the Pueblos, it seems 
probable that the Basket Makers were from the start subject to 
influences from more advanced cultures in the south. Perhaps, there- 
fore, Middle America is the place we should go to for the complete 
story of cultural evolution in America. 

When we turn to the earliest archeological remains found in strati- 
fied culture deposits in other parts of the United States, the records, 
as stated, are much less complete; but, as far as they go, the inven- 
tories obtained are in general agreement with that of the Basket- 
Makers. Thus, the surviving implemental traits, for example, of 
the California and Florida shell-heaps, as well as of the cave de- 
posits in Kentucky, Pennsylvania, New Jersey, and New York, are 
confined largely to works in stone, bone, and shell; the finished 
products everywhere show more or less of quantitative changes, as 
well as gradations of workmanship and specialization of form; and, 


39 Guernsey, S. J., Explorations in northeastern Arizona. Peabody Mus. Papers Amer. 
Archeol. and Ethnol., vol. 12, pt. 1, p. 118, 1931. 


494 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


most important of all, the oldest items recovered in the line of flint- 
chipping are far from primitive, or at least from anything compara- 
ble to the pre-Solutrean of Europe. The same is true even if we go 
to Alaska, the main front entrance to the American Continent and 
which by many is regarded as harboring a culture derived from that 
of the Upper Paleolithic of Europe. The similarity seems real 
enough, at least so far as bone work is concerned; yet the associated 
chipped stone work, say, from Point Barrow and other well-known 
archeological stations, is of much more modern stamp. Indeed, the 
very chipped-stone items recovered from the supposedly late post- 
glacial formations at Trenton, N. J.,*° at Melbourne, Fla.,44 and at 
Folsom, N. Mex.,*? are of full-fledged Neolithic design and work- 
manship, the like of which were not achieved in the Old World, 
according to the latest archeological time-reckonings, until some 
7,000 or 8,000 years ago. 

It may be objected that the New World Neolithic need not have 
waited on that of the Old World; that it might have developed inde- 
pendently. To this the most natural answer is that it obviously had 
to wait, because there are in America no known rude preliminary 
stages of flint working corresponding to those characterizing the 
Upper Paleolithic of west Europe and north Africa, and from which 
our rich and highly developed American Neolithic flint industries 
could have been derived. But this ready old answer may no longer 
suffice, because, for one thing, it is becoming increasingly evident 
that the mentioned Upper Paleolithic of Mediterranean Africa and 
Atlantic Europe is not even directly ancestral to the succeeding local 
Neolithic and need not therefore be considered as the necessary 
forerunner of our American Neolithic. In the light of the more 
recent archeological discoveries covering the Old World as a whole, 
the so-called “ Caspian flake industry ”, with its several successive 
stages, characteristic especially of North Africa and the very similar 
contemporary Aurignacian, Magdalenian, and Azilian-Tardenoisian 
developments at home in west Europe, appear as unique specializa- 
tions such as have not arisen at all uniformly in other parts of the 
Old World any more than in America. In place of these flake 
industries we find another tradition, a core industry, familiar to us 
through a succession of stages called pre-Chellean, Chellean, Acheu- 
lian, Mousterian perhaps, Solutrean, Campignian, and Neolithic. 
This still obscurely related succession really seems to constitute the 

# Volk, E., The archeology of the Delaware valley. Papers Peabody Mus., vol. 5, 
1911; Spier, L., The Trenton Argillite culture. Anthrop. Papers Amer. Mus. Nat. Hist., 
vol. 22, pt. II, 1918. 

41 Gidley, J. W., 45th Ann. Rept. Bur. Amer. Ethnol., pp. 7-8, 1927-8. 


@ Wiggins, J. D., Antiquity of man in America. Nat. Hist., vol. 27, pp. 229-39, 1927; 
also various papers read by Barnum Brown but apparently not yet published. 


ANTIQUITY OF MAN IN AMERICA—NELSON 495 


main current of the world’s flint-working developments, and may 
possibly be the real source of our American flaked- and chipped-stone 
industries. Indeed, were we to look closely at our so-called “ Neo- 
lithic ” inventories, we should easily recognize—besides the men- 
tioned Eskimo bone objects of Upper Paleolithic type—such items as 
our widely distributed wooden spear and spear thrower, perhaps of 
Magdalenian affinity; our three out of four forms of Solutrean 
chipped blades; our ordinary Aurignacianlike end scraper; our sim- 
ple Mousterian type flake; #* and, finally, our Acheulian and Chellean 
varieties of the coup-de-poing. It is not an impressive list, nor is it 
cffered as evidence occurring either in isolation or in stratified order; 
it is presented merely as something reminiscent chiefly of the Old 
World’s core industries. Wherever its actual origin or whatever its 
routes of distribution, this industry was truly ancestral to the real 
Neolithic of the Old World and may also very well underlie our 
American Neolithic. But whether this substratum of the Neolithic 
actually arrived in America during its Solutrean phase is extremely 
doubtful, because the close relation of the Old and New World 
Neolithic would seem to be attested by the fact that the two cultures 
have at least 85 objective elements in common (54 being stone imple- 
ments), besides strong similarities among several other less material 
traits. Stated otherwise, the indications are that the Neolithic com- 
plex was already taking shape in Eurasia before its carriers invaded 
the American Continent, though the date is not necessarily limited 
by the supposed earliest Neolithic developments in Egypt placed at 
about 5500 B. C. 

Patination on stone implements.—It is a toss-up now whether the 
question of patination, by which is here meant the weathered condi- 
tion of stone artifact surfaces due either to mechanical wear or to 
chemical alterations, should be treated under a positive or under a 
negative heading. Either position involves the admission of numer- 
ous exceptions; but inasmuch as several positive claims and actual 
demonstrations have been made from time to time we may as well 
dispose of the subject here. At the outset it must be premised that 
while patination, which is simply nature’s way of effacing the work 
of man and reclaiming it as her own, is undoubtedly a valuable 
criterion of age, it is at the same time a most difficult phenomenon 
with which to deal effectively. Thus, to secure valid results by the 
ordinary comparative method is next to impossible, because the 
essential factors involved in the patinating process are rarely if 
ever constant; that is to say, identity of raw materials to be affected 
and the identity likewise of the predisposing physical and chemical 
activities do not obtain over any considerable portion of the world. 


43 Sarasin, Paul, Zur Frage von der prihistorischen Besiedelung von Amerika. Denk- 
schr. Schweizerischen Nat. Ges., Mém. Soc. Helvétique Sci. Nat,. vol. 64, mem. 3, 1928. 


- 


496 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Each case of patination, therefore, has to be treated independently, 
and whatever comparisons are instituted the resulting conclusions 
can have only the merest general significance. 

With these precautions in mind, it is legitimate to cite sporadic 
instances of American patination. To begin with, our petroglyphs, 
or abraded rock-pictures, of the Southwest and elsewhere, admirably 
illustrate the phenomenon in all its stages, from fresh-looking artifi- 
cial surfaces to such as have weathered into an exact resemblance of 
the adjacent natural crust. In our collections from Texas and other 
parts of the country, and even in the literature, occasional stone im- 
plements appear which exhibit a worn, shiny, polished surface, much 
like that produced on natural pebbles by the action of blown desert 
sands.t4 As examples of chemical action may be mentioned the 
chipped argellite implements from the yellow soil at Trenton, which 
exhibit a graduated alteration in the rock substance from the surface 
inward, reaching depths measuring appreciable fractions of an inch. 
Lastly, it is necessary to mention the claims made by the late Prof. 
N. H. Winchell concerning the degrees of patination exhibited by a 
large collection of flaked chert material gathered for him by J. V. 
Brower in northeastern Kansas. Winchell, after much study of his 
material, distinguished no less than six stages of patination, or, 
better expressed, six successive attempts at flaking the specimen into 
shape. Four of these stages he regarded as of Neolithic date and 
workmanship, while the other two were declared to be Paleolithic.*° 

Critical comment on both the facts and their interpretations, as 
outlined, is obviously premature, although called for in some form. 
Winchell’s bold effort to prove the antiquity of man in America 
reminds one strongly of the earlier attempts by Thomas Wilson; 
yet, although Winchell’s method was essentially sound, his conclu- 
sions are scarcely more acceptable until his material has been checked 
over by someone thoroughly familiar with artificially worked rock 
surfaces. From what little I have personally been able to see of the 
Kansas collection stored at the Minnesota Historical Society Mu- 
seum in St. Paul, I am far from convinced of anything like six 
discernible artificial surface conditions; but even if they exist, it 
does not follow that any of them are necessarily of Pleistocene date. 
We need here, as in the Trenton case, to have the opinion of both 
the mineralogist and the chemist as to what has really happened, and 
whether or not time is a uniformly important factor in the process. 
Furthermore, cur most patinated artifacts are not of true flint hke 
those of Europe, so that comparison is out of the question. When 

44 Moorhead, W. K., The Stone Age in North America, vol. 2, pp. 352-38, 1910; Winchell, 
N. H., The weathering of aboriginal stone artifacts. Coll. Minnesota Hist. Soc., vol. 24. 


pt. 1, pp. 151-168, pl. 15, 1916. 
45 Winchell, N. H., op. cit., pp. 37, 170. 


ANTIQUITY OF MAN IN AMERICA—-NELSON 497 


we examine our jasper, chert, agate, hornstone, and other flintlike 
specimens, we rarely find more than the faintest trace of weather- 
ing—nothing, at any rate, to compare with the shiny ochreous condi- 
tion of many of the flint coup-de-poing specimens from the Lower 
Paleolithic, e. g., of western Europe. At the same time, it is neces- 
sary to bear in mind that the patina on European flint artifacts does 
not always vary according to age. Thus, while the worked flints 
removed from the dry rock-shelter type station at Le Moustier show 
no appreciable traces of patination, the specimens from the open, 
wet La Micoque and later stations are sometimes chemically altered 
to a creamy white cheeselike substance, the like of which I have not 
observed in America. Clearly, however necessary time may be as a 
factor in patination, certain other conditions are far more important. 
And even if the chert specimens from Kansas do yield six discernible 
stages of surface alteration, it may be replied that available Paleo- 
lithic specimens, also of chertlike material, from the Libyan desert 
adjoining the Egyptian section of the Nile Valley, exhibit perfectly 
astounding alterations, reaching by gradations to nearly an inch in 
depth. In short, while our American patination studies leave much 
to be desired, the warranted inference is in close agreement with the 
preceding conclusions derived from the stratified refuse deposits; a 
respectable antiquity is indicated, but a lapse of time comparable to 
that demonstrable for the Old World is out of the question. 


NEGATIVE EVIDENCE 


An attempt has been made in the preceding section to set forth 
the essential archeological features supplied by the New World and 
to make the most of their possible antiquity. The results are dubious. 
On the one hand, our culture deposits, with respect to geological 
situations and zoological contents, furnish indications of perhaps 
somewhat greater age than the strictly corresponding phenomena 
of the Old World; but, on the other, their implemental contents 
appear to be of Neolithic complexion—unless we boldly redefine the 
term Neolithic and under cover of a broader conception carry our 
oldest prepottery stratum back toward the illusive Old World Solu- 
trean stage. Whether or not this can be done is doubtful on account 
of a number of negative indications, which can only be mentioned 
in bare outline. 

Missing utilitarian features.—Of first importance, is the fact that 
our American flint-chipping industries have failed to produce in 
clearly specialized form a number of typical Paleolithic tools and 
weapons, such as the plain and notched side-scrapers (racloirs), the 
keel scraper, the Audi and Chatelperron points, the gravette blade, 
the burin with its many modifications, the point with one basal 


498 | ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


notch or barb, the saw or serrated blade, and, most striking of all, 
the various geometric microliths. It is true that some of these special 
adaptations can occasionally be matched in a rough or generic style, 
but not with real precision or for any considerable geographic 
range. 

Missing representative art features—One of the outstanding modes 
of expression resorted to by European and African Paleolithic man 
was his faithful pictorial representation of the contemporary ani- 
mals on which his existence largely depended. The long list of 
faunal species thus depicted, either by incising or painting on lime- 
stone cave walls or by engraving and sculpturing on pieces of bone, 
antler, and ivory, or again, on rare occasions, by modeling in clay, 
are now mostly extinct or else have migrated to suitable northern 
and southern climates. This fact of itself—apart, 1. e., from con- 
firming paleontological remains in the contemporary culture debris— 
strongly corroborates the passage of time indicated by attending 
geologic circumstances. Now when we turn to look for similar art 
phenomena in America we are unexpectedly disappointed. We have 
animal pictographs of all kinds in abundance, and also we possess 
a respectable amount of zoomorphic engraving on bone and shell, 
sculpturing in stone, painting on pottery, modeling in burnt clay, 
casting or hammering in metal, and even animal representations 
thrown up in the form of earthworks; but positive representation 
of extinct species is wanting.*® It is true that some suggestive indi- 
cations are available. There are, for example, the supposed elephant 
mounds of Ohio and Wisconsin, the elephant pipes done in stone 
from Iowa,*? the Lenape stone tablet with an incised elephant from 
Pennsylvania,‘ a deer humerus with an incised stylicized proboscidian 
from Missouri,*® a piece of seashell with some indefinite lines upon 
it, variously interpreted as a mastodon or a bison, from Delaware,”° 
and certain alleged architectural sculptures resembling elephants in 
Middle America.*!. For good measure, a journalistic expedition to 
the Grand Canyon recently published photographs of one petroglyph 
called a dinosaur and another suggesting a rhinoceros.*? Perhaps 
there are others. However, some of these representations are prob- 
ably nothing more than accidental resemblances, while others have 

46 But see possible representations of Megatherium and Glyptodon, fig. 215, 5 and 7, in 
Archaeological Research—Chaco-Cordillera Exped., 1901-2, by Eric von Rosen, Stock- 
holm, 1924. 

47 Proc, Davenport Acad. Nat. Sci., vol. 2, p. 249; vol. 3, p. 132; vol. 4, pp. 1-95, 
ee 30, Bur. Amer. Ethnol., p. 764. 

49 Nat. Hist., vol. 21, pp. 591-97, 1921, 

50 Lucas, F., Animals of the past, p. 171, New York, 1922. 

6 Smith, G. Elliot, Elephants and ethnologists, p. 20, pl. 2, London, 1924. 


52'The Doheny Scientific Expedition to the Hava Supai Canyon, Northern Arizona, Publ. 
Oakland Mus., p. 27, Oakland, Calif., 1924. 


ANTIQUITY OF MAN IN AMERICA—NELSON 499 


been adjudged plain frauds. Whatever the truth, the available pic- 
torial evidence is insufficient as proof either of man’s antiquity or 
of the late survival of the animals in question, especially as no finds 
seem to be extant of the actual human use of fresh ivory. 

But then, as if to reinstate all the foregoing weak claims, or at any 
rate to confuse once more the entire issue, it must be mentioned that 
several widely scattered paleontological discoveries agree in suggest- 
ing the contemporaneous existence of man and of the great probosci- 
dians, and that the latest exceptionally well-authenticated find, in 
Ecuador, would seem to bring the survival of the mastodon, at least, 
down to within two millenniums of our own day.®* Something ap- 
parently is wrong somewhere when we are asked to believe that the 
American Indian, who more or less faithfully pictured the animal 
life about him much as did his hunting kin in the Old World, was 
little if at all impressed by his most unique and gigantic contempo- 
raries. Moreover, if he saw or pursued such prey, it is strange that 
our folklorists have not found tales of the adventure. 

Missing somatic features—There is current among paleontologists 
an old and seemingly well-founded opinion to the effect that America 
was never the home of any anthropoid creatures from which a human 
stock could have been derived. Moreover, barring Ameghino’s hope- 
less claims, there appears not to have been brought to light in the 
Western Hemisphere a single fragment of evidence indicative of a 
really primitive human type, comparable, for example, to Pithecan- 
thropus erectus of Java, the Peking man of China, the Piltdown man 
of England, the Heidelberg man of Germany, or even of the Nean- 
derthal type of man, widely distributed in Europe and Africa, reach- 
ing Asia and perhaps also far away Australia. In view of the appar- 
ent wanderings of this primitive hunter, it seems more than strange 
that he should not also have followed the game animals on which he 
subsisted off into the Western Hemisphere, if the route was really 
open. Nevertheless, American skeletal remains, and especially those 
for which geologic antiquity has been claimed, have all been care- 
fully studied, or restudied, by Hrdlicka,®* who finds in the lot of 70 
or more specimens only modern types of men, closely resembling our 
living Indians. It is true that so experienced an anatomist as Sir 
Arthur Keith has sought to establish the contemporaneity of the 
species Homo sapiens and Homo neandertalensis, or, in other words, 
to claim much greater antiquity than hitherto for modern man: * 
but even if proved correct for the Old World, the outcome for the 
New World would remain doubtful. The most extreme suggestions 

53 [Jhle, Max., Proc. 23d Int. Congr. Americanists, pp. 247-258, New York, 1930. 


% Hrdlitka, A., Bulls. 33, 52, 66, Bur. Amer. Etlinol. 
5% Keith, Sir A., Antiquity of man, London, 1915. 


36923—36——33 


500 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


ever made are that the Lagoa Santa skulls of Brazil have by some 
been referred to as being similar to those of European men of Aurig- 
nacian times,°® while to others these same and similar skulls from 
both North and South America have been likened to the skulls of 
native Australians,*’ 1. e., to a non-Mongoloid and, therefore, sup- 
posedly a pre-Mongoloid inhabitant of the New World. But as a 
whole our American_somatic collections of whatever locality appear 
to be accepted as exhibiting no very marked changes with the passage 
of time or any wide divergence from those of their nearest neighbors, 
the Mongoloid branch of the existing human family. 

Failure of systematic investigations——A most striking feature of 
American aboriginal antiquity researches is the fact that our ques- 
tionable data are the results mostly of isolated accidental discoveries. 
Deliberate investigations by both paleontologists and archeologists, 
extending through nearly a century of time and ranging over most 
of the continent, have yielded next to nothing of archeological im- 
portance. Lund tried out more than 800 caves in Brazil alone, of 
which only 6 yielded traces of man, and those of doubtful an- 
tiquity. The West Indian caves have supplied similarly uncertain 
results.°§ In Yucatan numerous caves have been excavated by 
Thompson, Mercer, and others, with even less of promise.*® When 
we come to the United States the situation is no clearer, although 
protracted investigations have been carried out in practically all sec- 
tions of the country where the topographic relief affords opportunity 
for caves and rock-shelters.°° The number of possible sites thus tried 
out is not definitely known, but it must exceed at least 2,000, probably 
3,000. In the way of returns for all this labor—unless the Gypsum 
Cave proves something really unusual—what have we? Merely this: 
Wherever culture debris has occurred in quantity there have been no 
positive traces of Pleistocene fauna; and, contrariwise, wherever 
Pleistocene fossil fauna has been found in quantity there have been 
no positive indications of man. And what is true for our cave de- 
posits is true also for our out-of-door sites. The Princeton expedi- 
tion to Argentina labored for 3 years in vain, so far as early man was 


°6 Myers, J. L., Cambridge ancient history, vol. 1, p. 48. 

7 Rivet, P., Bulls. et Méms. Soc. Anthrop., 5th ser., vol. 9, p. 209, Paris, 1908; Journ. 
Soc. Américanistes de Paris, vols. 6-8, p. 147, 1909-11. 

°8 Harrington, M. R., Cuba before Columbus. Indian Notes and Monogr., Mus. Amer. 
Ind., Heye Foundation, New York, 1921. 

° Thompson, E. H., Cave of Loltun, Yucatan, Peabody Mus. Mem., vol. 1, no. 2, pp. 
1—24, 1897; Mercer, H. C., The hill caves of Yucatan, Philadelphia, 1896. 

6 Cresson, H. T., Early man in the Delaware valley, Proc. Boston Soc. Nat. Hist., vol. 
24, pp. 145, 147, 1890; Mercer, H. C., Publ. Univ. Pennsylvania, vol. 6, pp. 139-147 
and 149-178, 1897; Proc. Acad. Nat. Sci. Philadelphia, 1895; Schrabisch, Max, Archeology 
of Delaware River valley, vol. 1, 1930; Brown, B., The Conard Fissure, Arkansas, Mem. 
Amer. Mus. Nat. Hist., vol. 9, pt. 4, pp. 157-208, 1908; Merriam, J. C., Recent cave 
exploration in California, Amer. Anthrop., n.s., vol. 8, no. 2, 1906. 


ANTIQUITY OF MAN IN AMERICA—NELSON 501 


concerned ; and the Field Museum expedition to the same country and 
to Bolivia searched for 5 years, collecting about 3,000 fossil speci- 
mens, among which was not a single item suggesting the presence of 
man during Pleistocene times. Consider also the famous Quaternary 
bone bed at the Rancho de la Brea oil-seep in southern California. 
Its investigation by paleontologists extends over about 30 years, and 
during that time the bones of more than 4,000 individual animals 
have been taken out. The majority of the species found are car- 
nivores, but grass-eating animals, including the horse, bison, camel, 
elephant, etc., total at least 9 percent of the whole,*! yet not only 
have no convincingly ancient remains of man himself been removed, 
but no spear points or other forms of weapons have been found, as 
might reasonably be expected, either stuck fast in the bones or lying 
loosely among them, as evidence that some of the animals had at 
times been attacked by hunters. 

Compare this fact of all but uniform sterility in the New World 
with the diametrically opposite conditions obtaining in the Old 
World. In Europe alone more than 275 cave and open-air sta- 
tions have been excavated which show the more or less constant 
repetition of associated fossilized human and animal remains of 
Pleistocene date. Additional sites demonstrating the same phenom- 
enon could be listed also for Asia and Africa. But we must drop 
the subject at this point, allowing it to speak for itself. 

General negative indications —There are other alleged facts which 
seem to militate against the antiquity of man in America. It has 
been argued, for example, that the relatively greater number of iron 
meteorites found in the Western Hemisphere goes to show that those 
of the Eastern Hemisphere were largely used up by early man, as a 
natural consequence of his longer occupation of that region. The 
recorded proportions are 79 to 182 in favor of America; while for 
stone meteorites the conditions are reversed, the figures being 74 to 
299 in favor of the Old World. 

Lastly, it is in order to remark that the complete distribution of 
the Paleolithic culture in the Old World is not yet a confirmed fact. 
Until very recently Ireland was regarded as outside the range—and 
may yet be. The same seems to be true also for the Philippine and 
other Pacific island groups, for Japan, and, as far as positive infor- 
mation goes, for northeastern Siberia. In these circumstances, even 
though it now appears that parts of Alaska were habitable during 
the Pleistocene,°* we may well restrain our expectations concerning 
the American continent. 

61 Toomis, F. B., American year book, p. 705, 1930. 


® Rickard, T. A., Iron in antiquity, p. 12, Iron and Steel Institute, London, 1929. 
8 Frick, C., Nat. Hist., vol. 30, no. 1, pp. 71-80, Jan.—Feb., 1930. 


502 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


CRITICAL COMPARISONS 


Having dallied so long over the alleged facts bearing on our antiq- 
uity problem, there is little space left for critical comment on the 
situation as finally developed. The principal aim so far has been 
to make clear, if possible, that there are sound reasons for the long 
standing disagreement between archeologists and paleontologists. 
Yor the archeologist now to attempt an explanation of this disagree- 
ment and to put the paleontologist right is doubtless presumptuous, 
yet the temptation is strong. To the present writer the difficulty 
seems to inhere in their two distinct avenues of approach to the 
problem. The archeologist, who advances on the human prehistory 
enigma from the historian’s point of view, is bound to have narrow 
and rigid ideas with respect to questions of time. The paleontol- 
ogist, on the other hand, because he approaches the same enigma 
from the geologic point of view, has naturally shown himself rather 
generous in his ideas about time. It could scarcely be otherwise; 
to the historian time is limited, yet of first importance; to the 
geologist it is practically unlimited and, it seems, of secondary im- 
portance. The paleontologists and archeologists, in short, approach 
the same problem from opposite poles, as it were, and, therefore, 
their disagreements may well amount to nothing more than misun- 
derstandings. 

As the writer sees it, both the paleontologist and the archeologist 
are seeking to establish first of all relative chronologies and later, if 
possible, absolute chronologies. So long as these chronologies remain 
relative, all is well. Serious occasion for dispute does not arise until 
either side attempts to express the results in terms of actual time 
duration. The paleontologist, relying supposedly on what appears to 
be the uniformly slow evolution of biologic phenomena, is apt to 
stretch out his time factor, while the archeologist, impressed with the 
occasionally swift developments of cultural phenomena, is likely to 
underestimate the time element. Moreover, the two realms, cultural 
and biological, are not quite comparable; psychic and social factors 
play a greater part in the one than in the other; besides, the various 
factors entering into cultural developments are possibly better under- 
stood than are those regulating biological evolution. In the circum- 
stances we can do no better than to look at the general permanence of 
results achieved by the two modes of approach, limiting ourselves, of 
course, to the data in which the two branches of investigation have a 
common interest. 

When we review the joint labors of paleontologists and archeolo- 
gists, insofar as they relate to discoveries made in stratified culture 
deposits, there is general agreement. The cave relics, e. g., of Europe, 


ANTIQUITY OF MAN IN AMERICA—-NELSON 503 


leave no question as to the contemporaneity of man and of extinct 
animal species. The fossil remains in these accumulations were not 
re-sorted, as happens in open-air sites, and thus could give no erro- 
neous ideas as to contemporaneity ; besides, the associated items were 
found times without number in many different places, and they stand 
further chances of being verified over and over again. Nobody 
questions the conclusions arrived at from this source, except now and 
then as to absolute dates. 

By contrast, the results are very different when we turn to the 
isolated discoveries made in the geologic deposits. And this is true 
not only with respect to New World finds but for Old World dis- 
coveries as well. As examples of the uncertainty regarding the age 
of such finds, it may be cited that the Pithecanthropus erectus re- 
mains, which for a long time were considered of Tertiary origin, are 
now generally regarded as of Quaternary date; the classic Paleolithic 
implement discovery in 1797 by John Frere at Hoxne, in Suffolk, has 
been labored over by English investigators off and on ever since, 
and has in turn been declared as dating from “a very remote 
period ”, “ Postglacial ”, “ Interglacial”, ‘ Postglacial ”, and, last of 
all, “ Second Interglacial ”,°* and recently the beginning of the Lower 
Paleolithic culture stage—in spite of much allegedly specific evidence 
dating it from the Third Interglacial—has by Breuil been shifted 
back in time by what must amount to several hundred thousand years, 
viz, to the First Interglacial! After having listened in for 5 months 
in Mongolia on paleontological discussions, such date shiftings no 
longer frighten me; but to the ordinary tender-minded archeologist 
feats of that kind are extremely disconcerting, to say the least. It 
goes without saying that there were good and sufficient reasons for 
these and other changes of opinions; but it also goes to show that the 
precise age, either relative or absolute, of any given geologic deposit 
may be difficult, perhaps impossible, of exact determination. To the 
geologically minded, accustomed to deal with vast durations of time, 
such minor shiftings obviously mean very little; to the historically 
minded, reckoning events by single years, they mean a great deal. 
This is not, of course, to say that our isolated archeo-paleontological 
discoveries are no longer of great importance; it is merely to suggest 
that the final chronological position of such finds is in many instances 
an open question which should not worry us overmuch. 

In conclusion, it may be of interest to compare the variously 
achieved archeological results of both the Old and the New Worlds, 
and to do it in such a way that they may readily speak for them- 


* Moir, J. Reid, The silted-up Lake of Hoxne and its contained flint implements. Sladen 
Excavation Fund and British Asso. Rep., vol. 5, pt. 2, pp. 137-165, 1925. 


504 § ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


selves. To that end the tabular scheme on opposite page is presented, 
which seeks to indicate at once the geographical sources and techno- 
logical characteristics of the data and also their alleged geological 
dates. 

Comment on the table is scarcely necessary, inasmuch as it does 
little more than sum up what has been previously considered. It is 
legitimate to remark, however, that the Old World column, though 
very likely subject to shortening at the lower end, presents a fairly 
natural, genetically related evolutionary series of implemental forms, 
which is all but completed within the range of the stratified “ archeo- 
logical deposits ” themselves. The New World column by comparison 
is short, though consistent as far as carried by the archeological 
deposits, and beyond that distinctly erratic and incomplete. Some 
downward lengthening and rectification of the strictly archeological 
portion of the column is to be expected, but the section of the record 
falling within “ geological deposits ” seems beyond all hope of recon- 
ciliation either with itself or with the corresponding section of the 
Old World record. 


SUMMARY AND CONCLUSIONS 


An effort has been made in the foregoing pages to review the 
various aspects of the archeological problem presented by the native 
inhabitants of the American continent, with a view primarily of 
seeking an answer to the much disputed question of their antiquity. 
In approaching the task it has been frankly assumed that the 
physical and cultural characteristics of the New World peoples were 
not entirely unique and independent developments, but were to some 
extent intimately related to human life and culture of the Old World, 
and that, therefore, the best results could be achieved through con- 
stant comparison of the pertinent facts made available by research 
in the two hemispheres. The original peculiar fascination of the 
general American problem has been explained and the various steps 
in its formulation indicated, leading to the notion that so far as 
primary interest is concerned the old questions of origin and an- 
tiquity have today been largely superseded by the more immediate 
and practical question of cultural development. Next, a brief sketch 
of the actual course and accomplishment of American investigations 
has been introduced to supply the necessary basis for an appreciation 
of current archeological opinion. Finally, there has been presented 
in some detail the various types of New World evidence—ethno- 
logical, paleontological, and archeological—produced and adduced 
during the past century as having direct bearing on the antiquity 
problem; and this body of mostly concrete data has been compared 
and contrasted, as far as possible, with similar data recovered in 


505 


ANTIQUITY OF MAN IN AMERICA—NELSON 


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SP]4OM NANT PUD PIO 24} YJ0G U2 adUaL/nII0 fo apow puD aur} pabay]y 41aY}) PUD s7a0a]-a4NI]NI aarssadons ay) Buyworpuy sjupyo aaynusodwoy 


506 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the Old World. These comparisons have revealed America’s strictly 
archeological record as broadly conformative, but at the same time 
decidedly brief; while our supplementary paleontologic contribu- 
tions, derived from geologic sources, appear as both genetically or 
typologically incomplete, as well as absurdly misplaced and irregular 
in their stratigraphic occurrences. 

As to precise conclusions regarding the antiquity of man in 
America, it is scarcely necessary to say that the time has not quite 
arrived for their formulation. It is agreed on all sides that Lub- 
bock’s “3,000 years” or Nadaillac’s “3,500 years” are insufficient 
to account for all that was accomplished in the prehistoric New 
World; but how much more time should be allowed, in the light of 
the rate at which the successive cultures developed in the Old World, 
can at present be little better than a guess. However, taking into 
consideration all the facts set forth, the only conclusion that now 
seems warranted is that man did not reach the American continent 
until some time after, but probably incidental to, the general disrup- 
tion caused by the last ice-retreat, and that he came as the bearer 
of the partially developed Neolithic culture, somewhere between 
5,000 and 10,000 years ago. If, on paleontological grounds, more 
time than this must be granted, then—in keeping with the suggestion 
made in Natural History in 1919—the most that the archeologist 
can concede at present is that possibly we have in America very 
faint traces of the Solutrean culture stage, of which the Folsom, 
N. Mex., discovery may be an example. But even this admission 
still leaves the antiquity of man in America as essentially post- 
glacial. 


A SURVEY OF SOUTHWESTERN ARCHEOLOGY - 


By FRANK H. H. Roserts, Jr. 
Bureau of American Ethnology 


[With 9 plates] 


Southwestern archeology has long occupied a prominent place in 
North American anthropological researches, but at no time since 
investigations were started has there been as wide-spread an interest 
or so marked a diversity of effort in the area as that of today. In- 
tensive studies and numerous conferences have produced so much 
material that it is difficult for those not directly concerned with the 
field to keep abreast of its developments. Several articles, reports, 
and books appearing in recent months review the archeology of the 
region in an effort to explain the present status of the subject. There 
is still some misconception, however, about various phases of the 
problem, and a number of features, particularly earlier contribu- 
tions, have been so consistently overlooked that an additional résumé 
may not be out of place. 

Early Spanish explorers observed and recorded ruins which lay 
along their routes of travel, but it was not until the middle of the 
nineteenth century that the remains began to receive serious atten- 
tion. Members of the various military and survey parties of the 
westward expanding United States included in their official re- 
ports descriptions, plans, and drawings of the antiquities which 
they encountered. In fact, several of the major expeditions had 
men assigned to that phase of the explorations. As a result con- 
siderable interest was aroused in the subject, and definite steps were 
taken to place the governmental researches on a sound basis by 
consolidating them and putting them under the direction of the 
Smithsonian Institution. Universities, museums, and foreign in- 
vestigators were attracted to the field, and private individuals or- 
ganized expeditions to hunt for “relics” both for their personal 
curio cabinets and to sell. From that time onward there has been 
an ever-increasing zeal on the part of diggers. When the eastern 

1Reprinted, by permission, with some revision, omissions, and the addition of illustra- 
tions, from the American Anthropologist, vel. 37, no. 1, January—March 1935. 


507 


508 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


tourists “ discovered ” the Pueblo country a decade ago, the South- 
west became archeology conscious and began to capitalize its an- 
tiquities. Local schools and colleges introduced courses on the 
subject in their curricula, and small societies and roadside museums 
sprang up all over the region. Whereas in former years most of 
the excavations were conducted by large institutions located outside 
the area, the regional organizations are now doing their full share. 
During the winter and spring of 1933-34 the landscape literally 
swarmed with “ archeologists” sponsored by the Civil Works Ad- 
ministration, and in the following summer and autumn the activity 
continued under the Federal Emergency Relief Administration and 
other relief employment agencies. The results of this work are 
still to be determined, although consensus is that, with a few excep- 
tions, the investigations were not as scientifically satisfactory as 
could be desired. 

Hundreds of articles and reports have been written, and today there 
is an imposing body of literature on the subject. Many of the papers 
are excellent, others indifferent, and some should never have attained 
to the dignity of print. On the other hand, much work has been done 
which was never reported. Unfortunately some of the most impor- 
tant excavations ever carried on fall in this category. The publica- 
tions fall roughly into three main classes: Graphic accounts of the 
superficial features of greater and lesser antiquities; detailed studies 
of buildings and objects found, with considerable emphasis on the 
function and symbolism of the latter; and comprehensive treatises on 
specifically planned investigations in an attempt to fit the data into 
their proper position in the historical pattern and to show what part 
they played in the course of cultural development in the area. The 
style of report correlates roughly with the series of years in which the 
work was done. The first belongs to the era of exploration, 1850 to 
1880; the second to the interval of promiscuous digging with speci- 
mens as the chief incentive, 1880 to 1910; and the last to the period of 
excavations carefully planned with a view to solving recognized prob- 
lems, 1910 to the present. This grouping may be criticized on the 
grounds that a few of the earlier men did endeavor to see the picture 
as a whole, while some now engaged in researches seemingly do not 
recognize that there is more to the problem than their own little proj- 
ects. But, taken by and large, the three-phase classification does 
indicate what the trends have been. 

That all of the ruins were not contemporaneous was suggested by 
various factors. Yet, although there was a broad classification of 
modern and pre-Spanish ruins, little attempt was made to determine 
sequential distinctions between sites until about 1910. Prevailing 
opinion was that no such differences could be ascertained for the pre- 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 509 


Spanish group. This belief was strengthened by the unsatisfactory 
results which most of the workers obtained when they endeavored to 
develop a sequence on the basis of legendary evidence, by comparisons 
between artifacts, and by the state of preservation of the ruins. 

For some reason stratigraphy was largely disregarded despite the 
fact that it had long proved extremely useful in Old World arche- 
ology. Not a few investigators held, and students were taught, that 
there could be no stratigraphy in the Southwest because the remains 
were only those of a single people, the Indians. 

Stratigraphy was recognized in a few cases as indicating relative 
dates for material, but it was not until the present phase of south- 
western researches that it received due consideration as an important 
source of evidence. N.C. Nelson, of the American Museum of Nat- 
ural History, demonstrated the validity of the method when, begin- 
ning in 1912, he used it in New Mexico. He, as well as other field 
men, had recognized variations in the kinds and styles of pottery 
associated with ruins and village sites and believed that these differ- 
ences had definite significance beyond that of merely being charac- 
teristic of the places where they were found. Accordingly, he chose 
a number of ruins known to be inhabited pueblos during the early 
Spanish occupation. By working downward from top to bottom in 
the adjacent refuse heaps, he determined the sequence of the princi- 
pal pottery types of the Rio Grande region and in consequence the 
main chronological periods for the district.2- At about the same time 
Kidder and Guernsey were using stratigraphy to establish the rela- 
tive ages of several types of remains in the Kayenta district in 
northeastern Arizona, and Morris was applying the principle to his 
excavations at the Aztec Ruin in northern New Mexico. Subsequent 
projects, Hodge at Hawikuh, Kidder at Pecos, Judd in the Chaco 
Canyon, were conducted with a full consideration of the importance 
of this kind of evidence. Since that time stratigraphy has become 
one of the accepted routines in the technique of excavation. 

To aid him in the study of his material Nelson developed a system 
of tabulations and percentages which not only showed the fluctua- 
tions in the pottery from a single site, but which proved of value in 
making comparisons between the types found at various ruins. Kid- 
der employed an adaptation of the method at Pecos,* Kroeber used it 
successfully in the Zuni region,’ and Spier obtained excellent results 
in a survey of the Zufi and Little Colorado districts by following an 
elaborated form of it. Briefly stated, the technique makes possible 
a relative dating of sites on the basis of the percentages of the 

2 Nelson, 1916. 

3 Kidder, M. A., and A. V., 1917. 


* Kroeber, 1916. 
5 Spier, 1917, 1918. 


510 § ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


different kinds of pottery represented at each, provided the ceramic 
sequence has previously been determined by stratigraphy. The 
method was used for some time with good success. Recently, how- 
ever, it has fallen into the discard. Just why this should be the case 
is not apparent. It is true that under certain conditions it is not an 
infallible source of evidence, particularly in chronological studies 
based solely on surface material. Nevertheless it is helpful in out- 
lining the main characteristics of a district and in indicating where 
intensive work should be undertaken. In a consideration of the 
ceramics of a single site it has more than enough merit to warrant its 
retention in archeological procedure. By this means it is possible 
to demonstrate in a graphic way the true nature of the pottery com- 
plex. Perhaps one explanation for the failure to make use of the 
system is that the workers have become so absorbed in a detailed 
study of pottery per se—the writer has been guilty of such on occa- 
sion—in a determination of types and the finding of names for them, 
that they have forgotten the important factor of giving percentages. 
It is only from such data that the real significance of each group in 
the series can be judged. 

Accumulated data had demonstrated that there were regional 
variations and that characteristic elements tended to conform to 
distinct patterns or styles according to the district in which they 
were found. Also, it was observed that the stylistic complexes 
seemed to radiate from particular centers and that they mingled or 
overlapped along the hazy boundary lines separating the numerous 
spheres of influence. In addition it was definitely established that 
there were a number of different stages or horizons in the unfolding 
of the culture. Although writers described these features, little 
attempt was made to combine the knowledge into a coherent whole 
until Nelson undertook a chonological study of the entire area. He 
had drawn up a diagrammatic chart to illustrate his conception of 
the relations between the various groups, as well as their origins, 
but had not completed his work when his efforts were diverted to 
other fields.* Nelson’s outline broadened the viewpoint of students 
to a considerable degree. Even so, the possibilities for revealing a 
vivid and fascinating narrative of culture growth were not fully 
appreciated until Kidder published his Introduction to Southwestern 
Archeology in 1924. Kidder not only assembled, digested, condensed, 
and made available the salient facts of the existing data; he went 
further and correlated the mass of information into an historical 
reconstruction presenting for the first time a comprehensive postula- 
tion of developments in the area. The book had greater value, 
however, than that of summing up and interpreting the work which 


6 Nelson, 1919, p. 119. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 511 


had been done. It pointed out blank spots in the record, indicated 
clearly the districts where investigations were needed, and centered 
attention on a number of general problems previously overlooked. 

Within the last decade a new method of obtaining chronological 
evidence, one making possible absolute rather than relative dating, 
was developed. This contribution came, not from an archeologist, 
but from an astronomer. 

Dr. A. E. Douglass, of the University of Arizona, in making a 
study of sun spots and their effects on climatic conditions in the 
Southwest, turned to the growth rings of trees in an effort to obtain 
evidence on the occurrence of drought periods and the intervals of 
moisture. In doing this he discovered that the rings formed definite 
patterns by groups of years, and as a consequence he developed a 
system whereby he could tell whether the trees from which logs were 
cut were growing at the same time or to what degree their life cycles 
overlapped. Beginning with trees whose cutting date was known, 
he has been able to devise a type chart going back to about 700 A. D." 
In obtaining evidence to substantiate his own theories he was forced 
to resort to timbers from ruins for material antedating living trees, 
and thus furnished the archeologists with an extremely valuable time 
scale. Now when beams are found in a ruin it is possible to check 
their rings with the historical chart and, provided the outer sur- 
faces have not been damaged or removed, tell the year of their cut- 
ting. Of course, the timber may not have been placed in the struc- 
ture immediately after the tree was felled, and occasionally a log 
was no doubt reused. It is possible though, to gage the results by a 
careful consideration of the archeological aspects of the site, and a 
date is assured which closely approximates the year or years when 
the dwellings were erected. 

Continued work with the tree-ring dating system, or dendrochro- 
nology, as it is now called, demonstrated that the type chart would 
not function in all cases. Material from some sections did not cor- 
relate properly because of local variations in characteristic ring pat- 
terns. For this reason it has been necessary to develop supple- 
mentary charts. This work is being carried on by a number of Dr. 
Douglass’ students, and newly dated ruins are constantly being added 
to an already sizable list. Rivalry between workers to find earlier 
and earlier dates has in one or two instances caused misunderstand- 
ings. Correct use of the system requires that the announced date 
should be the outermost ring in the timber. Occasionally the date 
of the earliest discernible ring has been proclaimed in such an am- 
biguous way that the implication was that that was the year when 
the log was cut and the building erected. One such case led to 


TDouglass, 1935. 


512 | § ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


numerous newspaper and magazine articles attributing approxi- 
mately 200 years’ greater antiquity to one major ruin than it actually 
possesses. This not only created an entirely erroneous idea about 
the age of the site, but it gave rise to considerable confusion, since 
nearby structures believed to be contemporaneous, on the basis of 
archeological evidence, had yielded much later dates. Peculiar in- 
consistencies in some recent identifications and interpretations of 
material have led a number of those specializing in dendrochro- 
nology to formulate an agreement to the effect that each date, as well 
as the specimen upon which it is based, be examined and approved 
by Dr. Douglass before it is released for publication. There is no 
question but that great care should be taken. The results so defi- 
nitely fix a ruin’s position in the chronology that an inaccuracy might 
wholly obscure the actual course of events in a region. 

One gratifying feature about the tree-ring dating is that the re- 
sults have checked with the findings obtained from other sources of 
evidence. Prior to the perfection of the system the relative ages 
of a number of large ruins and village sites, even of remains in dif- 
ferent districts, had been worked out by archeological methods. 
When dendrochronological dates became available, it was noted 
that the conclusions reached previously had been correct, although 
the estimated time lapses had been much too great. 

As a result of the stimulation of interest produced by Kidder’s 
book, the entrance into the field of numerous new workers not wholly 
familiar with existing conditions, an increase in published material, 
and a growing confusion in the correlation of information, it became 
apparent that something should be done to improve the situation. 
Accordingly, Dr. Kidder invited the workers in southwestern arche- 
ology and related fields to meet in informal conference at the Phil- 
lips Academy, Andover, excavation camp at Pecos, N. Mex., on Au- 
gust 29-31, 1927. The 3 days of discussion led to an agreement 
on a series of sequent stages in the culture growth and a set of 
names designating the several phases, the Pecos Classification, was 
adopted. ‘This conference was so satisfactory to most of the workers 
that many of them again met at Pecos in the summer of 1929. The 
sessions of the second gathering were devoted mainly to a review of 
the original classification and to reports on excavations conducted 
subsequent to the first’ conference. 

Most of those attending the second conference expressed the belief 
that the classification had been of help to them in their studies. Some 
stated that they had had difficulty in applying the various criteria. 
This was especially true for one definite region. Consideration of 
this perplexity served to emphasize a fact which had been becoming 
more and more apparent, namely, that the remains in the southern 
and western portions of the area, the desert domain, are not Puebloan 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 513 


in type. Cosmos Mindeleff commented on this difference in 1896 and 
suggested that it was too marked to be attributed wholly to a question 
of environment.’ Kidder, in 1915, separated southwestern culture 
into two major divisions on the strength of the dissimilarities,’ and 
again pointed them out in 1924. In the latter publication, however, 
with pottery as a criterion, he concluded that in some respects these 
aberrant sites were allied to the Pueblo ruins.’° Nelson had recog- 
nized the distinction, and in 1919 indicated it on his diagrammatic 
chart, although he did not give a detailed discussion of the problem. 
The situation was not accorded the attention which it merited—actu- 
ally was overlooked at the first conference—until Gladwin and others 
working in the district, beginning in 1927 and continuing through 
subsequent years, obtained definite evidence that the types were dif- 
ferent. The full import of this did not crystallize at Pecos but at 
Gila Pueblo, Globe, Ariz., in April 1931, when a classification was 
drawn up for that division by workers interested in its problems. The 
results of the Gila Pueblo conference were presented to a larger group 
of southwestern students at the Laboratory of Anthropology at 
Santa Fe, N. Mex., in September of that year. The Santa Fe session, 
which took the place of the biennial Pecos conference in 1931, dis- 
cussed and adopted the Globe recommendations. There have been no 
general meetings of that nature since. 

From the knowledge amassed during the many years of inves- 
tigations and on the basis of understandings reached in various con- 
ferences, most southwestern archeologists today synthesize the data 
broadly and briefly as follows: Scattered over the area are the 
remains of a basic sedentary, agricultural, pottery-making culture 
which has two major provinces comprising the plateau and desert 
patterns (fig. 1). The plateau division, which falls under the 
Pecos Classification, includes the regions of the San Juan, the Rio 
Grande, the Upper Gila and Salt, the Little Colorado, most of Utah, 
and a portion of eastern Nevada. The desert domain, summed up 
by the Globe Classification, occupies the territory extending from 
the Colorado River on the west to approximately the New Mexico 
line on the east, from Flagstaff, Ariz., on the north to northern 
Sonora on the south, with its center lying in the middle Gila Basin. 
The northern boundary follows roughly the thirty-fifth parallel from 
the Colorado, swings slightly north to include the Flagstaff section, 
thence southeastward across Arizona, conforming for the most part 
to the great diagonal ridge sometimes called the “ Mogollon Rim” 
or the “ Verde Breaks ”, and continues along the Gila Mountains as 
far as Safford, Ariz. The eastern boundary extends from Safford 

8 Mindeleff, C., 1896, pp. 186-187. 


® Kidder, 1917. 
10 Kidder, 1924, pp. 105-106, 107. 


514 | ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


southwestward to the San Pedro Valley and on to the Santa Cruz 
Valley south of Tucson. There is, of course, an overlapping of the 
patterns in the border precincts, but only in late phases is there any 
indication of fusion. In only one district, the Verde Valley, do the 
two appear to have coalesced to form a subpattern. 

The Mogollon district (fig. 1), hitherto thought to represent a 
regional variation of the Basket Maker-Pueblo pattern, is now tenta- 


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NEW MEXICO 


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Ficurn 1.—Sketch map of southwestern area showing location of main cultural provinces. 


tively considered a distinct subpattern by Dr. Haury of Gila Pueblo. 
Until reports on Dr. Haury’s investigations are available, however, 
it is not possible to evaluate the material. 

The plateau group is designated by the long familiar names, 
Basket Maker-Pueblo, while the desert dwellers have been termed 
the “ Hohokam”, a word used by the Pima when they make refer- 
ence to the ancient ones. Russell employed it in an archeological 
sense when he referred to the ruins and antiquities of the region in 
his monograph on the Pima. It was not adopted or generally used, 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 515 


however, until after the meeting at Gila Pueblo. The Hohokam 
for a number of years went under the working designation of the 
Red-on-Buff Culture because of the color characteristics of its pot- 
tery. In considering the two major divisions the Basket Maker- 
Pueblo with its so-called “ Pecos Classification” will be discussed 
first. 

BASKET MAKER-PUEBLO 


The uplands pattern is recognized as representing a cultural unit 
with several horizons in its development. The general view is that 
agriculture, introduced from the south, was taken up by a nomadic 
people whose newly acquired economic factor led to a more settled 
life. At a later date pottery making was either introduced or in- 
vented, and houses of the pit type were perfected. This was accom- 
panied by changes in existing elements in the material culture and 
the appearance of other features. New peoples then invaded the 
region; dwellings were built above ground and evolved into many- 
roomed structures. With the infusion of new blood there was an 
acceleration in the unfolding of the cultural pattern. Small villages 
were scattered over a greater part of the uplands province. Later 
there was a contraction in the extent of occupied territory and a 
concentration of population into definite centers. This phenomenon 
was accompanied by improvements in architecture and the ceramic 
arts together with pronounced local specialization. Following this 
stage there was an even greater shrinkage in occupied territory, a 
shift to new localities, and a decline from the preceding cultural 
peak. This stage was terminated by the arrival of the Spaniards 
and subsequent colonization by other white men. 

The first Pecos conference grouped the various horizons under two 
main headings, Basket Maker and Pueblo, which were further 
divided into subgroups. Hence the Basket Maker I, or Early Basket 
Maker; Basket Maker II, or Basket Maker; Basket Maker III, Late 
Basket Maker, or Post-Basket Maker; Pueblo I, or Proto-Pueblo; 
Pueblo II; Pueblo III, or Great Period; Pueblo IV, or Proto- 
Historic; Pueblo V, or Historic. These eight steps or stages in the 
development of the general pattern were based on several diagnostic 
traits. For the two major groups skeletal material was considered 
significant. In the material culture the following elements were be- 
lieved indicative of the various stages; village types, architecture, 
sandals, pictographs, textiles, stone and bone implements, kinds and 
styles of ornaments, and pottery. Pottery, it was agreed, furnished 
the most abundant, convenient, and reliable criterion, and the culi- 
nary vessels the simplest ware for chronological determinations. 
Primarily the classification rests upon ceramics. One explanation 

36923—36——34 


516 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


for this is that pottery is plentiful and readily obtained without the 
expenditure of any great amount of effort or money. It is charac- 
terized by easily recognizable differences in style and form and was 
an exceedingly sensitive element from the standpoint of variations 
both in time and place. Furthermore, when the first conference was 
held, little was known about the houses and still less about other 
factors for some of the early stages. The original summarized 
classification has been so widely published that it need not be 
repeated in detail. 

For the benefit of those not thoroughly familiar with the subject 
a brief consideration of certain elements in each horizon may help 
to an understanding of the sequence. This summary includes not 
only the material available when the nomenclature was adopted, but 
data obtained since 1927 as well. Discussion of all of the compo- 
nents of the complex for each subdivision is beyond the scope of the 
present article, so only a few traits will be described. Since Basket 
Maker I is only postulated, there is little to be said concerning it. 
Theoretically it was a nonagricultural stage possessing in cruder, less 
developed form some of the elements present in later levels. Actually 
no traces of it have been found. A number of the discoveries made 
in recent years which indicate human occupancy of the area at a com- 
paratively remote date cannot be considered, on present evidence, to 
represent the initial stage of the classification. These finds, Folsom,” 
Gypsum Cave,'* etc., thus far have not been shown to bear any rela- 
tionship to the Basket Maker. The most significant factor in this 
connection was the recent discovery by Dr. E. B. Howard of a Fol- 
som type point in a level underlying a Basket Maker horizon.'* This 
evidence indicates that the Folsom group was in the region earlier 
than the Basket Makers. 

CRANIA 

Basket Maker II, undeformed, long scaphoid. Basket Maker III, unde- 
formed, long scaphoid; undeformed round (actually more mesocephalic than 
brachycephalic), are sometimes found in late sites. Pueblo I, deformed, both 
long and round. Pueblo II, deformed, round in the majority but an occa- 
sional long is noted. Pueblo III, deformed, preponderantly round, sporadic 


long. Pueblo IV, deformed, mostly round, few long. Pueblo V, deformed 
round and long. Undeformed round, occasional undeformed long. 


SANDALS 135 


Basket Maker II, square toe with fringe, twined, woven of fine cord. Basket 
Maker III, scalloped toe, woven of fine string, design in color on upper side, 
woven pattern on under. Pueblo I, round toe, woven of fine string, coarse 


1 Kidder, 1927; 1931, pp. 5-6: Roberts, 1929, pp. 3-7. 
12 Roberts, 1935. 

33 Harrington, 1933. 

14 Howard, 1935, p. 78. 

18 Guernsey and Kidder, 1921; Guernsey, 1931. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 517 


pattern on under side. Pueblo II, round toe. Pueblo III, notched toe, woven 
of fine string and yucca leaf; square toe, yueca leaf, twilled weave. Pueblo 
IV, notched toe, string and yucca leaf. Pueblo V, moccasins. 


BASKETRY 7° 


Basket Maker II, loose weave, coiled, rod and bundle type, decorated in black 
or red. Basket Maker III, coiled, rod and bundle type, no difference either in 
technique or appearance from Basket Maker II; specimens are occasionally 
noted exhibiting an irregular splitting of the stitches. Pueblo I, coiled, rod 
and bundle, elaborate designs, twilled ring baskets. Pueblo II, twilled ring 
baskets, two rod and bundle coiled; general lack of information, however. 
Pueblo III, some coiled, rod and bundle with fine tight weave but no design, 
twilled ring baskets numerous. Pueblo IV, same as for Pueblo III. Pueblo 
V, baskets of plaited yucca leaves attached to a wooden rim, coiled rod and 
bundle baskets and trays, wicker-work baskets. 


TEXTILES 17 


Basket Maker II, twined-woven bags with designs in color, finely woven from 
apocynum-fiber string; coiled-netted weave of human-hair string. Basket Maker 
III, twined-woven bags of coarse weave with no design; coiled-netted weave of 
eoarse-fiber string. Pueblo I, cotton cloth. Pueblo II, cotton cloth. Pueblo III, 
eotton cloth of plain loom weave; elaborately decorated loom weave; netted 
weave. Pueblo IV, same as for Pueblo III. Pueblo V, cotton, wool, commercial 
items purchased from traders. 


WEAPONS 78 


Basket Maker II, atlatl, grooved clubs. Basket Maker III, atlatl, grooved 
clubs, bow and arrow toward end of horizon. Pueblo I, bow and arrow. Pueblo 
II, bow and arrow. Pueblo III, bow and arrow, throwing club. Pueblo IV, bow 
and arrow, throwing club. Pueblo V, bow and arrow, throwing clubs, European 
weapons. 

HOUSES 


Basket Maker II, no information, possibly erected temporary shelters in 
the open. Dug into the floors of caves are circular or oval pits, in many 
eases lined with slabs of stone, which constituted lower portion of granaries. 
Now and then examples are found with pole, brush, and plaster superstruc- 
tures still in position over pit. Occasionally these cists were lined with bark 
and grass and seem to have functioned as sleeping places.” 

Basket Maker III, dwellings of the circular, oval, or rectangular pit variety. 
Excavations lined with upright stone slabs or heavy coating of mud plaster 
or both, sometimes a wainscoting of poles was used in place of stone. Roofed 
over with a conical or truncated superstructure of poles covered with mats 
or brush, plaster, and earth. Central smoke hole, side entrance passage, some- 
times an antechamber. Granaries of Basket Maker III form clustered about 
the houses. Number of such dwellings irregularly grouped together to farm a 
village.” 


16 Guernsey and Kidder, 1921; Guernsey, 1931; Weltfish, 1932. 

17 Guernsey and Kidder, 1921; Kidder and Guernsey, 1919; Guernsey, 1931. 
138 Guernsey and Kidder, 1921; Guernsey, 1931. 

19 Guernsey and Kidder, 1921. 

20 Guernsey, 1931, pp. 25-27; Roberts, 1929, pp. 10—105. 


518 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Pueblo I, characterized by transitions in house types, variety of structures. 
In the north central section of the province, the portion traversed by the 
San Juan and its tributaries, the crude, single-roomed semisubterranean 
dwellings (pl. 1, fig. 1) gave way to structures which had only slightly de- 
pressed floors instead of pits. Major portion of house was above ground. Had 
several contiguous rooms. Pole and plaster form of construction, jacal walls, 
prevailed at first but was replaced in time by masonry (pl. 1, fig. 2). Pit 
domiciles continued in use in peripheral districts, especially in the south and 
west. Pits were dug deeper, however, and entrance to chambers was by means 
of a ladder through the smoke hole. In a few precincts the side entrance 
survived. Where entrance was through the roof the former side passage was 
retained in reduced size as a ventilator. Above ground villages retained a 
subterranean structure as a ceremonial house, the kiva.” 

Pueblo II, unit-type structures or one-clan houses. These dwellings of stone 
or adobe, built entirely above ground, contained from 6 to 14 rooms (pl. 2). 
They were a single story in height with rooms grouped in one long row, a double 
tier, an L-shape or in the form of a rectangular U. Usually at the south or 
southeast side, detached from the building, was a subterranean ceremonial 
chamber.” In peripheral parts of the area this type of dwelling did not reach 
as high a degree of excellence. Pole and mud houses and irregular agglomera- 
tions of rooms whose walls were formed from large quantities of adobe 
mud and unworked boulders prevailed in the south and west. In the Flagstaff 
district rectangular pit dwellings survived through this horizon.” 

Pueblo III, the great terraced communal houses of many rooms, mostly of 
stone construction, although adobe was sometimes used. Erected either in the 
open or in large natural caverns in the cliffs (pl. 3). Also, one-clan houses 
scattered about in the vicinity of the large centers. In some sections cavate 
dwellings, rooms cut into the soft tufa or cliff faces, were not uncommon.” 

Pueblo IV, communal houses, scattered dwellings, cavate lodges.* 

Pueblo V, villages of terraced houses (pl. 6), of one-storied single-family 
houses, scattered single-family dwellings. Numerous examples of this stage 
are known to the general public, Taos, Zuni, Acoma, and the Hopi towns 
especially. 

POTTERY 


Basket Maker II, no true pottery but large containers of unfired clay tem- 
pered with cedar bast, the chaff of corn tassels, or grass heads. Molded in 
baskets or built up without aid of molds. Formed of horizontal bands of 
clay, the beginning of the coil technique.” 

Basket Maker III, fired vessels. Light gray to a fairly good white in color; 
red containers; bowls with an unpolished black interior and gray exterior. 
Surfaces irregularly stippled in appearance, the result of protruding particles 
of tempering material. Sand or crushed rock temper, paste granular in cross 
section. Red ware due to an intentional overfiring, not to a colored slip. 
Bowls usually decorated on interior (pl. 4), other vessels unornamented. 


2 Kidder, 1924, pp. 74-75; Roberts, 1930, pp. 19-73; 1931, pp. 15-90. 

22 Prudden, 1903. These structures illustrate the form but are Pueblo III in horizon. 
A number of examples have been excavated in the Chaco range but the data ‘are 
unpublished. 

2 Colton and Hargrave, 1933. 

*% The works of Fewkes, Pepper, Mindeleff, Hough, and numerous others illustrate this 
horizon. See bibliography in Kidder, 1924; also citations in Roberts, 1932, pp. 17-19. 

2 Roberts, 1932, pp. 20-21, for examples. 

26 Morris, 1927, pp. 188-160. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 519 


Designs are generally ribbonlike panels embellished with dots, zigzag and 
stepped line elements, occasional life-form figures. Decorations carried over 
from basketry to pottery. Most vessels treated, after firing, with a wash of 
red pigment. This is impermanent and has been ‘called “fugitive red.” 
Culinary vessels smooth on the exterior.” 

Pueblo I, plain gray, black on white, lustrous black on red, slightly polished 
black interior bowls with brownish exterior. Introduction of slip. Tempering 
of white sand, ground rock, or pulverized potsherds. Decorations on all types 
of vessels. Main design elements consist of zigzag, parallel, parallel-stepped 
lines, and squiggled lines; filled triangles and dotted triangles; volutes and 
ticked volutes; interlocking frets; checkerboard; concentrie rectilinear and 
curvilinear figures (pl. 4). Patterns taken from textiles in addition to baskets. 
Culinary vessels with corrugated necks, flat neck bands, and smooth bottoms 
(pl. 5). Period marked by great diversity of form. In the black on white 
ware there are two main groups, the eastern and western. Of course, there 
are many local minor variations, but for a general consideration the two main 
forms are sufficient. The eastern centered about the Chaco Canyon area and 
the western around the Kayenta district in northeastern Arizona. The eastern 
extends from the northeastern San Juan Basin in southern Colorado to the 
Upper Gila region in southern New Mexico, from the Rio Grande on the east 
to approximately the New Mexico-Arizona boundary line on the west. In the 
west its southern fringes penetrated somewhat into eastern Arizona. The 
western Pueblo I ranged from northeastern Arizona to the Little Colorado in 
the eastern part of the State, swung a bit south of that stream farther 
west, and continued across to southeastern Nevada. The eastern borders are 
not sharply defined, and there is a strip extending down the Arizona-New 
Mexico line where the two phases overlap. The western, or Kayenta black on 
white Pueblo I, was the first to be recognized and for a long time was thought 
to be the characteristic form. Later investigations in the Chaco Canyon and 
the northeastern San Juan Basin established the second, Chaco black on white 
Pueblo I, and what appears to be the most wide-spread division. The basic 
difference is twofold: Pigment and surface appearance. The Chaco form had 
an iron-carbon paint, the Kayenta a carbon. In the Chaco group the paint 
stands out from the slip, whereas in the Kayenta it seems to fade into the 
surface of the vessel. General appearances suggest that the potters of the 
Chaco style applied the pigment after the surface of the vessel was polished 
and those of the Kayenta “school” painted the decoration before the polishing 
process was completed. There is no difficulty in telling one from the other or 
in recognizing either as Pueblo I because the basic style of decoration is the 
same for both.“ The culinary vessels, black on red and blackened interior 
bowls, are the same in the two divisions. 

Pueblo II, gray ware, black on white, lustrous black on red, polished black 
interior bowls with reddish exterior. Ground rock tempering, some sand, 
powdered potsherds. Decorations on all kinds of vessels. Painted designs 
characterized by broad, heavy elements; some survival of Pueblo I features 
but without series of bordering parallel lines. Culinary vessels with indented 
corrugations on necks, smooth bottoms, or plain corrugation over entire sur- 
face. Indented corrugation large and coarse, frequently called ‘“ exuberant.” 
Simple form of design pinched into corrugation or incised with finger nail or 


27 Morris, 1927, pp. 161-198; Roberts, 1929, pp. 107-126. 

78 Kidder, 1924, pp. 74-76, Kayenta or western (called pre-Pueblo). 
Guernsey, 1931, pls. 59, 60, 61. Kayenta or western. 

Roberts, 1930, pp. 74-139; 1931, pp. 114-149. Chaco or eastern. 


520 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


implement (pl. 5). The beginning of spiral coil. In previous stages each 
loop of clay had made only a single circuit, while in Pueblo II longer fillets 
were employed and each made several turns around the wall.” 

Pueblo III, gray ware, black on white, polychrome, black interior and red 
exterior, black on red. Late in period the beginning of black on yellow, black 
on orange. Fine texture, potsherd tempering as a rule. Designs characterized 
by elaborate detail and careful execution. The era of marked specialization. 
Pottery of various districts so typical that its place of origin may be recog- 
nized immediately, whether Mimbres, Chaco Canyon, Kayenta, ete. Culinary 
vessels covered over entire surface with finely indented corrugation. Contin- 
uous spiral coil in manufacture.” 

Pueblo IV, plain gray, plain yellowish, black on white, black on red, black 
on yellow, black on orange, polychrome, glazed wares. Sand and potsherd tem- 
pering. Elaborate designs, solid, heavy elements. Break-down in corrugation 
on culinary vessels, beginning of return to smooth surfaced cooking pots” 
(pl. 5). 

Pueblo V, modern painted wares of the Pueblos. Smooth surfaced culinary 
vessels * (pl. 5). 


OTHER TRAITS 


There are a number of traits which are more or less distinctive to one period 
or occur in several but which are not continuous through the pattern. Basket 
Maker II has tree-shell trowels or characteristic wooden scoops, peculiar 
lozenge-shaped beads, buttonhole stitch on selvage of plain-weave cloth. Basket 
Maker III a cross-stitch spindle and a unique type of small globular pottery 
vessel with a lateral spout. Basket Maker II-III have small funnel- or nipple- 
shaped unfired clay objects either plain or decorated with a punctate design ; 
also clay figurines usually representing human females.” Basket Maker III and 
Pueblo I-II have the open-end trough metate or milling stone placed on the floor. 
Pueblo III-V flat metates set in bins. Pueblo I-V the domesticated turkey 
and the polished grooved-ax. Pueblo IV pottery with the designs in glaze. 


There is always the possibility that something from an earlier 
phase will appear in one of the later stages. This may be a con- 
tinuance, a revival of an older form such as took place in the Hopi 
country when Nampeo started a renaissance based on pottery from 
the Pueblo IV ruin of Sikyatki, or an actual survival of one or 
more objects from a previous horizon. Even among the Indians 
there are and were devotees of the “antique”, and the archeologist 
occasionally stumbles upon a choice collection of objects which be- 
longed to such a person. It should, be evident that allowances must 
be made for occurrences of this kind but, as is so often the case, 
the obvious is so frequently overlooked that attention needs con- 
stantly be called to the fact that archeologically “ once a thing has 


22 Guernsey, 1931, pls. 42, 43, 66; Hargrave, 1932, p. 12 Coconino gray, p. 14 
Deadman’s corrugated, p. 15 Deadman’s black on white. 

30 Kidder, 1924, pp. 51-74; Cosgrove, 1932; Hargrave, 1932; Roberts, 1932, pp. 18-19 
for additional references. 

« Kidder, 1924, pp. 86-87, 1931; Hargrave, 1932; Roberts, 1932, pp. 20—21 for addi- 
tional references. 

22 Bunzell, 1929; Kidder, 1931, pp. 131-150. 

33 Morris, 1927, pp. 154-158. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 521 


been, it will be again and again.” It has been the failure to consider 
carefully such factors that has caused some students trouble in 
properly evaluating their finds. 

As an illustration of the time element involved and in response 
to oft-repeated queries concerning the age of ruins, a number of 
writers have supplied dates for the various stages in the sequence. 
These were not an integral part of the Pecos Classification, with 
the exception of Pueblo V, and were not given with the idea of 
isolating each stage between arbitrarily chosen sets of years because 
there is no sharp break between periods. Insofar as possible, these 
dates were based on information furnished by dendrochronology. 
For the earlier stages, however, data from this source were not avail- 
able and the figures were speculative. Most reports stressed this 
factor and pointed out that there could be no hard and fast appli- 
eation of the numerical chronology. A tendency has developed in 
certain quarters to make these dates the horizon determinant and 
ignore all the elements in the complex. A bare numerical tabula- 
tion is not sufficient to make clear all of the ramifications of periph- 
eral lags and stage survivals. 

There are two peripheral precincts where the Basket Maker-Pueblo 
pattern is not clear cut. In these outlying reaches many features, 
common in the nuclear districts, are missing. On the other hand, 
local developments have contributed elements which are foreign to 
the central portions. These marginal regions are generally desig- 
nated as the “northern and eastern peripheries.” The northern 
comprises the territory north and west of the Colorado River, rang- 
ing along the western slopes of the Rocky Mountains into southern 
Idaho and extending westward into eastern Nevada. The eastern 
includes the country lying to the east of the Rio Grande drainage 
and extends from the Oklahoma panhandle on the north through 
western Texas to the Big Bend district on the south. The western 
and eastern boundaries of the two peripheries, respectively, have not 
been determined. 

The northern periphery is characterized by a progressive fading 
of the basic pattern in proportion to the distance from the central 
portions of the province. The general nature of the remains indi- 
cates a Basket Maker I1I—Pueblo I origin for a complex which has 
distinctive qualities resulting from a combination of factors. Among 
these may be noted the survival of early elements, varying rates of 
diffusion for important features in the main pattern, the synchronous 
appearance of components which were chronologically distinct in the 
nuclear districts, the adaptation of borrowed features to local needs, 
and inventions. Except for a narrow strip along the Colorado River 
in the southern part of the periphery where the pattern was closely 


022 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


allied to that of northern Arizona, the grooved ax, the grooved 
maul, sandals, and the domesticated turkey, cotton, and various 
pottery forms are missing from the complex. Local features rare 
or absent in the central phases are a peculiar type of moccasin called 
the “ Fremont ”, unbaked-clay figurines in late horizons, the Utah 
type metate, katcina-like petroglyphs, and pottery ornamented with 
certain kinds of applique decorations. In the outer fringes of the 
periphery the Basket Maker—Pueblo pattern came to an end, owing 
in large part to pressure from hostile nomadic peoples, at approxi- 
mately the termination of Pueblo If in the main part of the province. 
Along the Colorado River it continued well into the Pueblo III 
horizon.** 

The general features of the eastern periphery, except for the Pecos 
district, are not as well known as those of the northern periphery. 
The Pecos ruins, located on the headwaters of the Pecos River, repree 
sent the largest eastern outpost of the Pueblo country and, although 
topographically not of the Rio Grande group, are so considered be- 
cause of their obvious relationship to the remains of the Santa Fe 
region. The Pecos ruins proper, as well as the smaller sites in the 
vicinity, have been thoroughly studied by Kidder and his associates, 
and considerable data are available on them. The presence of ruins 
farther east from the Pueblo country has been known since the days 
of Bandelier in the late eighties, yet little attention has been paid to 
them until the last few years. Eastward from the Rio Grande drain- 
age small sites with black on white pottery occur almost to the Texas 
border. Along the Cimarron in Oklahoma are caves from which 
material suggestive of the Basket Makers has come.*® Basket Maker 
finds have been made in the Guadalupe Mountains in southeastern 
New Mexico,** and caves in the Big Bend district of western Texas 
have yielded elements comparable in some respects to the Basket 
Maker.*? In the Canadian River district of eastern New Mexico and 
western Texas are the remains of villages which until recently were 
considered the eastern frontier of the Pueblos. The houses were of 
stone construction and varied in size from single-roomed circular or 
oval or rectangular structures to large buildings with numerous cham- 
bers of varying sizes and shapes. Because of the crude nature of 
potsherds found at the small sites, they have frequently been identi- 
fied as Basket Maker III or Pueblo I. As a matter of fact, the pot- 
tery is of the plains type, and the occasional Pueblo fragment found 
is intrusive. The larger ruins have yielded Pueblo potsherds which 
indicate a Pueblo IV horizon. The general consensus is that these 

34 Steward, 1933. 

% Renaud, 1930. 


36 Howard, 1935. 
87 Setzler, 1933. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 523 


sites represent the western fringes of an eastern cultural pattern 
which borrowed Pueblo architecture.*® On the whole, the Pueblo 
remains of the eastern periphery probably do not antedate Pueblo III 
of the nuclear districts nor postdate the first part of Pueblo IV. 


THE HOHOKAM 


The Hohokam or desert province is not as well known as that 
of the Basket Maker-Pueblo because intensive work in the remains 
of that division is only just beginning. Efforts of investigators 
have produced good results in the last 5 years, and considerable 
information is now available, but there is as yet nothing compara- 
ble to the mass of data concerning the uplands province. From 
what has been learned it is apparent that the desert pattern repre- 
sents a cultural unit with several developmental stages. Contrary 
to the Basket Maker-Pueblo, which is considered largely indigenous 
in its growth, the Hohokam is thought to have entered the South- 
west as an already established pattern, although it continued to 
evolve in its new locale. The earliest stage is characterized by a 
widespread distribution of small villages situated in the broad 
semiarid valleys of the province. This was followed by a horizon 
in which there was a greater concentration and a withdrawal from 
the more outlying precincts. Then there was an invasion of peoples 
from the uplands, and typical pueblos were built in Hohokam com- 
munities. The two peoples lived side by side, apparently, yet kept 
their cultural patterns distinct, the association seemingly being of 
insufficient duration for a borrowing or hybridization of character 
istics. The northern people then withdrew from the area, while 
the Hohokam continued to occupy their long-established hearths. 
Comparative studies between dated sites of the group which pene- 
trated the desert domain and then withdraw and materials which 
they left in the Hohokam province place the movements between 
1300-50 and 1400-50 A. D.*® It is postulated that the Hohokam 
eventually evolved into the Pima and Papago, although this is still 
a moot question, and a number of ethnologists are outspoken against 
such a theory. 

General characteristics of the Hohokam are: Dwellings of the 
single-unit type, rectangular in form; agriculture dependent upon 
extensive irrigation systems; paddle and anvil pottery; cremation 
of the dead; head form believed to be long and undeformed (this 
point doubtful because of cremations). The refinement of the pat- 
tern has been grouped under 6 horizons which are roughly syn- 
chronous with the 8 in the Pueblo province, the earliest Hohokam 


%8 Holden, 1932. 
® Gladwin, 1935, p. 254. 


524 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


stage possibly correlating with Basket Maker II and III. As in 
the case of the Pecos sequence, the Globe Classification rests prima- 
rily on pottery. The nomenclature lists the stages as: The Pioneer, 
the Colonial, the Sedentary, the Classic, the Recent (listed as Degen- 
erate in some reports but no longer so called), and the Modern. In 
making a brief summary of the various stage differences, only a few 
elements in the complex will be considered. 


DISPOSAL OF THE DEAD 


Pioneer, pit and trench cremation. Colonial, pit cremation. Sedentary, urn 
cremation. Classic, urn cremation, inhumation (Pueblo). Recent, cremation. 
Modern, inhumation. 

HOUSES 


Pioneer: Very large at first (up to 40 feet) and square; then became smaller 
and rectangular, shallow pit, rounded ends, vestibule with rounded entrance 
on side. Colonial: Rectangular, shallow pit, vestibule entrance on side. In 
some eases the floor was raised above the bottom of the pit on stone posts. 
Walls of poles, brush, and mud plaster. Hach dwelling a unit in the village.” 
Sedentary: Rectangular pit houses, rectangular surface houses with a frame- 
work of poles and grass, daubed with mud. (Pl. 7, b.) Villages enclosed in 
a compound wall. Classic: Pit houses, one-story surface houses of poles, 
brush, and mud; multistoried communal buildings often referred to as temples, 
fortresses, or clan castles (Casa Grande, pl. 8, fig. 1), but which were essentially 
pueblos. The compound wall continued in use. Recent: Pole, brush, and clay 
houses and in some sections a combination of compound and pueblos. Modern: 
Pole, brush, and clay dwellings (pl. 8, fig. 2). 


POTTERY 


Pioneer: A thin plain ware and a red ware in the earliest phase, painted 
pottery being totally absent. When the latter appeared it was decorated with 
simple red patterns in broad lines, sometimes polished, on a buff to gray, un- 
slipped background. Development in ornamentation produced several forms 
of hachured elements which preceded the style characteristic of the Colonial 
period. Some of the painted vessels, mainly bowls, were further embellished 
by a grooving of the exteriors. At first the grooves were deep and symmetri- 
cally placed, later they became shallow and irregular. Vessels are shallow 
bowls with outcurved sides, developing later into the flared bowl which became 
a dominant factor in the Colonial and Sedentary periods; and round-bodied 
jars with necks flaring into an open curve. The plain ware became thicker 
as the Pioneer stage progressed. The red ware was quite plentiful at first but 
became rare toward the end of the period. One type of ware, called San 
Francisco Red, seems to have penetrated into the province from the Mogollon 
district and may eventually be shown to have been related to the red ware 
of the Pioneer period. Elements used in the decorations on bowls and jars 
are very suggestive of those found in Pueblo designs, more so than in later 
stages. Also the grooving or simulation of coils on the exterior of bowls is 
comparable to a similar feature present on Pueblo I and II vessels in the 
uplands province. 


4 Haury, 1932. 
“4 Gladwin, 1935, p. 248. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 525 


Colonial: Red on buff and plain brown wares. The decorated vessels have 
a buff base color, generally enhanced by the use of a buff-colored slip, and 
designs drawn on with a red pigment. Vessels are bowls, jars, plates, effigies. 
Distinguishing features for the Colonial period are a typical bowl shape, like 
an inverted bell with a flaring rim, and the nature of the designs. Most of the 
decorations were formed by the repeated use of small elements bordered or 
fringed on one or both sides by sets of short, oblique, parallel lines. Common 
elements are figures resembling a simple or crude swastika, the letter z, the 
letter x, number 38; naturalistic symbols such as bird, mammal, reptile, and 
human forms; solid figures, triangles, rectangles, trapezoids, circles, the latter 
often enclosing a small element; interlocking scrolls applied in narrow bands. 
The kind of painted pottery which identifies the Colonial period has been named 
Santa Cruz red on buff. The brown vessels are called Gila plain ware.” 

Sedentary: Painted pottery a clear buff base color with designs in red, a plain 
red ware with black interior, a terra-cotta red with black interior. The flared 
bowls survived into this period; there were also bowls of terra-cotta red with 
black interior. Painted vessels mainly jars and dippers. Jars large with sharply 
returned and flattened rims. The area of greatest diameter well below the 
center of the jar, producing a sharp angle, the Gila shoulder (pl. 9), and giving 
the effect of a flattened bottom, although actually rounded, vessel. Designs 
composed of panels, the chief elements of which are herringbone patterns, 
stepped lines, hachures, frets bordered with fringes of short, narrow lines. The 
negative type of design is common, and the patterns were tied together by 
interlocking scrolls. The name of the painted ware which identifies the period 
is Sacaton red on buff. The red with black interior is called Santan red ware, 
and the terra-cotta red with black interior is Gila red ware. The latter is 
believed to have developed in the eastern part of the province, possibly in the 
Mogollon district. Colonial sherds are also found at all Sedentary sites.” 

Classic: Red on buff, terra-cotta red, and the introduced polychrome. ‘The 
painted red on buff has a fainter base color than in preceding stages, often faded 
to a faint brown. New technique in the decoration of bowls. Interior colored a 
dull gray-blue by burning, and ornamented by a band of red decoration, usually 
a running fret. Outside decoration, bold designs, with cross-hatching common. 
Typical feature of the Classic is the jars (pl. 9). Body shape globular, but the 
Gila shoulder retained in modified form. Necks distinct from previous stages 
in that they were vertical. Negative patterns of frets commonly employed in 
decorations which closely resemble Sedentary designs. Vessel necks ornamented 
with square fret, panels of parallel or stepped lines, interlocking negative pat- 
terns. Main pottery of the period from the standpoint of the Hohokam seems 
to have been the terra-cotta or Gila red ware. Vessels in this group include 
square and rounded bowls, jars, pitchers, ladles, effigies, canteens, and eccentric 
forms. An occasional specimen is noted on which there is an exterior design 
in white, a thin zigzag line bordered by rows of dots. Apparently synchronous 
with the advent of the polychrome wares, there was a further development of the 
red on buff, in which bowls and small, wide-mouthed jars were smoke-blackened 
on the interior and given a high polish on the exterior. 

In the polychrome group all visible surfaces have clear, well-polished red slip 
upon which bands and fields of white slip paint were applied as a background 
for the designs, which were either in black or black and red.“ This is the ware 
which is correlated with the Pueblo peoples, and it was on pottery of this type 


# Gladwin, 1933; Haury, 1932. 
48 Gladwin, 1933. 
“4 Kidder, 1924, pp. 109-110. 


526 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


that were based earlier conclusions that the Gila remains were a variation of the 
Pueblo. The typical red on buff jar forms which identify the period are called 
Casa Grande red on buff; the terra cotta red is Gila red ware.” The dull gray- 
blue bowls are known as “Tucson red on buff.” “ The polychrome group has a 
variety of names—Salado, Pinto, Tonto, Gila, depending upon the source and 
local characteristics.“ 

Recent: Large percentage of plain ware. It is generally red with heavy firing 
smudges. It resembles the plain ware of the modern Pima and Papago.* 

Modern: The pottery is modern Pima, a highly polished red with designs in 
black, and the Papago, bright red bowls highly polished inside and out, and jars 
with a grayish or brownish buff base color and designs in a brownish red. 

There are certain general features in the Hohokam which should be 
noted. The Pioneer stage was largely based on postulation until the 
winter and spring of 1934-35, when a site, Snaketown, near Phoenix, 
was found which gives definite evidence that there was such a period. 
The results of the work at Snaketown have not yet been published, so 
that it is impossible to give any of the significant details. Amnnounce- 
ment has been made, however, of the finding of a form of Ball Court 
at that location. The Ball Court is a typical Mexican feature found 
in association with ruins throughout Mexico and for that reason sug- 
gests interesting possibilities for the origin of many Hohokam traits. 
Other Mexican features, for example, the backs from iron pyrite 
mirrors, also point significantly southward. What impressed the 
writer most in viewing the material from Snaketown was the closer 
similarity in ceramics between this stage and the Pueblo pottery than 
exists in the later Hohokam horizons. The reason for this is not 
apparent at the present time, but may be forthcoming when the mate- 
rial has been thoroughly studied and published reports are issued by 
Gila Pueblo. 

Present indications are that Ball Courts are one of the traits that 
characterize the Colonial and Sedentary periods. Historic remains 
occur only in the south; in some districts other stages are missing. 
There was no Classic in the west where the Sedentary developed 
into the Modern. In the southern periphery, the Papagueria, there 
was no Sedentary. The great irrigation systems of the Gila and 
Salt River valleys attained their maximum development in the 
Classic. It is thought by the investigators in this province that 
the Hohokam cultural pattern flowed outward to affect peripheral 
areas where the people were in a less advanced stage of develop- 
ment, rather than that the Hohokam received its impetus from 
an exterior source. As stated previously, the Hohokam periods cor- 
relate roughly with the Pueblo stages. This has been indicated by 

45 Gladwin, 1933. 

46 Gladwin, undated, p. 119, type 2. 


“ Gladwin, 1930 b. 
48 Gladwin, 1930 a, p. 178, type 2. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 527 


the finding of Pueblo potsherds in Hohokam sites or an association 
of potsherds in border-line districts separating the two provinces. 
Pueblo I potsherds have been found in Colonial sites, Pueblo II-III 
in Sedentary, Pueblo III-IV in Classic. In southwestern New Mex- 
ico a series of sites designated Mogollon by Gladwin, which differ 
from both the Hohokam and the Pueblo, yielded a few northern 
sherds identified as Basket Maker III by the Gila Pueblo group but 
considered as typical Pueblo I by this writer, as well as some Colonial 
Hohokam. From this evidence it has been suggested that the Colo- 
nial existed through Basket Maker III, Pueblo I and II into early 
III. Since the site in question furnished a dendrochronological date 
of 900 and it is known that Pueblo I was in full flower in the north 
by 777, the cross finds are not as significant as they might be under 
other circumstances. Furthermore, no Hohokam sherds have thus 
far been found in any Basket Maker III sites. The Pueblo I mate- 
rial associated with Hohokam Colonial has been mainly of the Ka- 
yenta black on white type, which present evidence indicates to be 
later than the Chaco black on white or eastern form of Pueblo I. 
Under the circumstances it would seem precipitate to attempt any 
closer correlation than that of an approximate synchronization. 

One of the interesting problems is that of the paddle-and-anvil 
pottery. The question naturally arises as to where this method was 
derived from and what relation it bears to the other areas where a 
similar technique was used. If the modern Pima are descendants of 
the Hohokam, their pottery-making methods may possibly be con- 
sidered as a heritage from their predecessors. The Pima pottery is 
paddle-and-anvil finished, but it is built up by coiling, as is also the 
case in the southern California and Colorado River tribes. If the 
same was true for the Hohokam, there was not as great a difference 
in southwestern ceramics as the general statement, so frequently 
heard in discussions of late, of coiled versus paddle-and-anvil pot- 
tery would indicate. Basically they are similar, as Gifford pointed 
out a number of years ago when he stated “there are two methods 
of making coiled pottery * * * in the Southwest.” 4? The dis- 
tinction les in the finishing processes. 


COMMENTARY 


The Pecos Classification has been enthusiastically praised on the 
one hand and ardently damned on the other. Its proponents have 
felt that it was the most outstanding advance in years, whereas those 
who have not subscribed to its tenets are convinced that it represents 
the ultimate in asininity. Both the pros and the cons, however, 
have shown a propensity to fall into the same error, namely, that of 


© Gifford, 1928. 


528 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


thinking that the classification was final. Such was not the idea of 
the conferences. The sequential systematization was intended to 
serve as a working hypothesis, to present in convenient form the data 
which were available at that time. Those taking part in its elab- 
oration were cognizant of its dependence on evidence from one 
particular region, the San Juan, and realized that more information 
from other districts was needed. Consensus was that whenever 
clear-cut proof warranted a change, there should be no hesitancy 
about making modifications. An example of this willingness to 
change is shown in the case of the Hohokam. 

Criticism has been forthcoming on several counts. In some cases 
the exceptions were well taken, in others they merely show a lack 
of understanding, a failure to read carefully or even attempt, it 
would seem, to discern the intentions of the classification. One fre- 
quently hears that there could not possibly be eight stages in the 
growth of the cultural pattern because there were not that many 
different peoples in the Southwest. Also, the twofold grouping of 
Basket Maker and Pueblo has been scored on the grounds that the 
actual skeletal differences do not mean anything because the two 
types are occasionally found together in recent sites. Some insist 
that even though the sequence has been established it is thoroughly 
unscientific and should be rejected. Such objections would not be 
surprising if they were advanced by laymen, but when they come 
from people who supposedly are thoughtful students of the subject 
they are a bit baffling. Among the more intelligent criticisms the 
outstanding are: That the use of a numerical system has too defi- 
nitely fixed a time element for the whole province; that it implies a 
cultural homogeniety in all districts; that too great reliance is placed 
upon a single determinant, pottery; that there is no need for Basket 
Maker I when there is no evidence for it; that the various terms are 
not sufficiently defined; that the assumption that all elements in 
the complex, except agriculture and the idea of pottery making, were 
independent local inventions is open to question. 

The Basket Maker-Pueblo remains are believed to be representative 
of a single cultural pattern. The various periods are not regarded 
as distinct cultures, but rather as stylistic or developmental sections 
of that pattern. It is not thought that the growth followed a smooth 
and orderly progression. On the contrary, it is believed that the 
advances were intermittent with periods of quiescence during which 
there was little change. It is the material from the intervals when 
conditions were static which furnishes the picture for each typical 
horizon. The lines of demarcation between stages are often vague, 
and there is an overlap of characteristics which may tend to be con- 
fusing, although these occurrences can generally be explained if all 
of the factors involved are carefully considered. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 529 


The progression of stages infers a certain degree of contemporane- 
ity between sites of the same horizon, but it does not necessarily mean 
that they will fall within identical chronological dates. A specific 
stage in the development of the Pueblo pattern did not cut hori- 
zontally, from the standpoint of actual chronology, across the pla- 
teau. There may have been—no doubt, there frequently was—a 
difference in the precise years in which similar objects were in vogue 
in different districts. Also, it should not be expected that in every 
district each group passed through all of the stages. In some sec- 
tions Pueblo I survived until it was supplanted by Pueblo IIT, the 
intervening II being omitted. Again, in other parts of the province 
Basket Maker III continued until it was replaced by Pueblo II. This 
explains statements in some recent publications that there is no 
Pueblo I and in others that there is no Pueblo II. Similar condi- 
tions were also pointed out for the Hohokam, where certain stages 
are missing in some sections. 

There are numerous problems and many ramifications in the 
Southwest which cannot be included in the present article. Atten- 
tion has been called to them by Kidder in the Pecos reports, by 
Kroeber,°? by the Medallion papers, the bulletins of the Museum of 
Northern Arizona, and in this survey as originally published in the 
Anthropologist. 

On the whole it may be said that archeological investigations in 
the Southwest have been producing good results. Despite the criti- 
cism directed toward them, both the Pecos and Globe classifications 
have functioned well when used with discretion and when allow- 
ances have been made for local variations. They have kept a broad 
view of the subject constantly before the investigator. Moreover, 
they have assisted students in other branches of anthropology and 
interested laymen in discerning what the archeologists are trying to 
do and what their progress has been. 

In conclusion the writer may offer one suggestion with respect to 
what appears to be one of the “burning issues”, the Pecos classi- 
fication. Since the chronological implications of the sequence appear 
to be the cause of so much dissatisfaction and difficulty, a shght 
revision of the terminology may be proposed. Because the terms 
“early” and “late”, as well as numerals, inherently indicate chronol- 
ogy, they may be omitted. With these factors in mind, the follow- 
ing nomenclature is offered for consideration. 

Basket Maker: To designate the stage at present indicated by the 
titles Basket Maker II or Classic Basket Maker. This name was 
given as an optional term in the original Pecos list. Since there is 
no evidence for an antecedent stage, it is omitted. 


50 Kroeber, 1928, 


530 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Modified Basket Maker: This would replace Basket Maker III, 
Late Basket Maker, or Post Basket Maker. The designation would 
have the merit of indicating that the level was basically Basket 
Maker, although somewhat changed in form. 

Developmental Pueblo: This term used by Morris several years 
prior to the first Pecos Conference to supplant both Pueblo I and 
Pueblo II by incorporating them under the one heading. The com- 
plexities caused by the absence of one or the other in some sections 
and the difficulty of horizon determinations in others would thus 
be eliminated. It would indicate that the complex was in the evolu- 
tionary stages leading up to the maximum development. 

Great Pueblo: An alternative title for Pueblo III in the original 
nomenclature, may be retained to designate the era which was truly 
the classic period of the Pueblos. 

Regressive Pueblo: Replacing the Pueblo IV, this name would 
denote the period in which there was a general recession from the 
preceding cultural peak. Although in some respects the term might 
seem misleading because some districts did not attain their maximum 
development until this stage, it does, nevertheless, characterize the 
general trend. 

Historic Pueblo: Another choice proffered by the original tabu- 
lation, instead of Pueblo V. 

It is not thought that these names would solve the nomenclature 
problem in its entirety, but if they are employed to indicate the 
cultural level of each site, while the actual chronological position 
is determined by dendrochronology, much present confusion can be 
avoided. Also, certain psychological resistance to a more general 
acceptance of the classification might be lessened. It should be em- 
phasized that these designations apply to the complex, house type, 
pottery, stone, and bone implements, etc., and not to a single element 
or series of years. The criteria outlined in the Basket Maker- 
Pueblo discussion would hold for this classification. Even in the 
case of the original Pecos nomenclature the several horizons should 
only be considered as indicating the cultural level, the chronology 
being established by tree-ring dates as suggested above. 

Just after the completion of this article a paper proposing a 
method for the designation of cultures and their variations was pub- 
lished by the Gladwins.*t It suggests a system of roots, stems, 
branches, and phases. Characteristic features of the phases are de- 
scribed in uniform terms which avoid such comparatives and prefixes 
as early, late, pre-, post-, etc. The Pecos and Globe nomenclatures for 
the main sequences as well as other familiar terms are retained. 
The authors state that the purpose of their plan is to furnish the 


51 Gladwin, 1934. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 531 


specialist with a means for making minor distinctions in the build- 
ing up of sequences and at the same time supply those not concerned 
with the minutiae of classifications with broader terms. <A series of 
charts illustrating the plan in use are presented. These include 
names of present linguistic groups and an attempt to fit them into 
the archeological pattern, which is a hazardous procedure in the 
present state of our knowledge but one which furnishes food for 
thought. The scheme has considerable merit in its wider aspects and 
is worthy of careful consideration. In some respects it offers solu- 
tions to classification problems discussed in preceding pages; in oth- 
ers it adds new ones. The writer does not agree with the interpre- 
tation placed on certain features in the Southwest nor some of the 
groupings in the charts, but that is a matter of viewpoint. The plan 
does provide a systematic method of classification and a means for 
presenting the archeological data in a diagrammatic way. 


LITERATURE CITED 
BUNZELL, R. L. 
1929. The Pueblo potter. Columbia University Press. New York. 
Cotton, H. S., and Harcrave, L. L. 
1933. Pueblo II in the San Francisco Mountains, Arizona. Pueblo II 
houses of the San Francisco Mountains, Arizona. Mus. N. Arizona, 
Bull. 4. WMlagstaff. 
Coscrove, H. S., and C. B. 
1932. The Swarts Ruin, a typical Mimbres site in southwestern New 
Mexico. Papers of the Mus. Amer. Archeol. and Ethnol., Harvard 
Univ., vol. 15, no. 1. 
Dovuerass, A. BE. 
1935. Dating Pueblo Bonito and other ruins of the Southwest. Nat. Geogr. 
Soe., Con. Techn. Papers, Pueblo Bonito Series, no. 1. 
GIFTroRD, H. W. 
1928. Pottery-making in the Southwest. Univ. California Publ. Amer. 
Archeol. and Ethnol., vol. 23, no. 8, pp. 353-373. 
GLADWIN, WINIFRED and H. 8S. 
1930 (a) An archeological survey of the Verde Valley. Medallion Papers, 
6, Globe, Ariz. 
1930 (b) Some Southwestern pottery types, ser. 1, Medallion Papers, 8. 
1933. Some Southwestern pottery types, ser. 3, Medallion Papers, 13. 
1934, A method for the designation of cultures and their variations, Medal- 
lion Papers, 14. 
1935. The eastern range of the Red-on-Buff Culture. Medallion Papers, 16. 
Undated. The Red-on-Buff Culture of the Papagueria. Medallion Papers, 4. 
GuERNSEY, S. J. 
1931. Explorations in northeastern Arizona. Papers Peabody Mus. Amer. 
Archeol. and Ethnol., vol. 12, no. 1. 
GUERNSEY, S. J., and Kipper, A. V. 
1921. Basket-Maker caves of northeastern Arizona. Papers Peabody Mus. 
Archeol. and Ethnol., vol. §, no. 2. 
HARGRAVE, L. L. 
1932. Guide to forty pottery types from the Hopi country and the San 
Francisco Mountains, Arizona. Mus, N. Arizona, Bull. 1. 
36923—36——35 


532 § ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


HaArrinetTon, M. R. 
1933. Gypsum Cave, Nevada. Southwest Mus. Papers, no. 8. 
Haury, EH. W. 
1932. Roosevelt 9:6, a Hohokam site of the Colonial Period. Medallion 
Papers, 11. Globe, Ariz. 
HoLpen, W. C. 
1932. Recent archeological discoveries in the Texas Panhandle. Southwest 
Sociol. Sci. Quart., vol. 13, no. 3, pp. 287-298. 
Howakrp, E. B. 
1935. Evidence of Early Man in North America. Mus. Journ., vol. 24, 
nos. 2-3, Univ. Mus., Univ. Pennsylvania. 
Kipper, A. V. 
1917. Prehistoric cultures of the San Juan Drainage. Int. Congr. Ameri- 
canists, 19, pp. 108-118. 
1924. An introduction to the study of Southwestern Archeology. Dep. 
Archeol., Phillips Acad., Andover, Mass. Yale Press, New Haven. 
1927. Southwestern Archeological Conference. Science, vol. 66, pp. 489— 
491. 
1931. The pottery of Pecos. Papers Southwestern Expedition, Phillips 
Acad., Andover, Mass., no. 5. Yale Press, New Haven. 
Kipper, M. A., and A. V., 
1917. Notes on the pottery of Pecos. Amer. Anthrop., n. s., vol. 19, no. 3, 
pp. 325-3860. 
Kipper, A. V., and GUERNSEY, S. J. 
1919. Archeological explorations in northeastern Arizona. Bull. 65, Bur. 
Amer. Ethnol. 
Krorser, A. L. 
1916. Zui potsherds. Anthrop. Papers, Amer. Mus. Nat. Hist., vol. 18, 
no. 1, pp. 1-37. 
1928. Native cultures of the Southwest. Univ. California Publ. Amer. 
Archeol. and Ethnol., vol. 23, no. 9, pp. 873-398. 
MINDELEFF, C. 
1896. Aboriginal remains in the Verde Valley. 13th Ann. Rep., Bur. Amer. 
Ethnol., pp. 183-261. 
Morris, E. H. 
1927. The beginnings of pottery making in the San Juan area; unfired pro- 
totypes and the wares of the earliest Ceramic period. Anthrop. 
Papers, Amer. Mus. Nat. Hist., vol. 28, no. 2, pp. 127-128. 
NELSON, N. C. 
1914. Pueblo ruins of the Galisteo Basin, New Mexico. Anthrop. Papers, 
Amer. Mus. Nat. Hist., vol. 15, no. 1, pp. 1-124. 
1916. Chronology of the Tano Ruins, New Mexico. Amer. Anthrop., n. s., 
vol. 18, pp. 159-180. 
1919. The archeology of the Southwest; a preliminary report. Proc. Nat. 
Aead. Sei., vol. 5, pp. 114-120. 
PruppeEn, T. M. 
1903. The prehistoric ruins of the San Juan watershed in Utah, Arizona, 
Colorado, and New Mexico. Amer. Anthrop., n. s., vol. 5, pp. 
224-288, 
RenAvp, E. B. 2 
1930. Prehistoric cultures of the Cimarron Valley, northeastern New Mexico 
and western Oklahoma. Colorado Sci. Soc. Proe., vol. 12, no. 5, pp. 
113-150. 


SOUTHWESTERN ARCHEOLOGY—ROBERTS 533 


Roserts, F. H. H. Jr. 
1929, Shabik’eschee Village. Bull. 92, Bur. Amer, Ethnol. 
1930. Early Pueblo ruins in the Piedra District, southwestern Colorado. 
Bull. 96, Bur. Amer. Ethnol. 
1931. The ruins at Kiatuthlanna, eastern Arizona. Bull. 100, Bur. Amer. 
Ethnol. 
1932. The village of the Great Kivas on the Zui Reservation, New Mexico. 
Bull. 111, Bur. Amer. Ethnol. 
1935. A Folsom Complex: Preliminary report on investigations at the 
Lindenmeier site in northern Colorado. Smithsonian Mise. Coll., 
vol. 94, no. 4. 
Serziter, F. M. 
1933. Prehistoric Cave Dwellers of Texas. Explorations and Field-Work of 
the Smithsonian Institution in 1932. 
Sprer, LESLIB. 
1917. An outline for chronology of Zufi Ruins. Anthrop. Papers, Amer. 
Mus. Nat. Hist., vol. 18, no. 3, pp. 207-3831. 
1918. Notes on some Little Colorado ruins. Anthrop, Papers. Amer. Mus. 
Nat. Hist., vol. 18, no. 4, pp. 333-362. 
STEWARD, J. H. 
1933. Archeological problems of the Northern Periphery of the Southwest. 
Mus. N. Arizona, Bull. 5. 
WELTFISH, GENE. 
1932. Preliminary classification of prehistoric Southwestern basketry. 
Smithsonian Mise. Coll., vol. 87, no. 7. 


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Smithsonian Report, 1935.—Roberts REA Ee 


1. REMAINS OF TYPICAL PUEBLO I PIT HOUSE. 


2. EXAMPLE OF LATE PUEBLO I UNIT WITH CONTIGUOUS ROOMS, 


‘|| O18ANd AO DILSIYSLOVYVHD ‘AYNLONYLS AdAL LINN 


43LV1d $y19q0¥— "C¢6| ‘Oday URIUOSy{IWIG 


Smithsonian Report, 1935.—Roberts PEATEs 


Courtesy National Geographic Sociecy. 


1. PUEBLO BONITO, EXAMPLE OF PUEBLO III STRUCTURE BUILT IN THE OPEN. 


2. CLIFF PALACE, A PUEBLO III COMMUNITY ERECTED IN A NATURAL CAVERN. 


Smithsonian Report, 1935.—Roberts PLATE 4 


\ 
4) 

thy 
7 


BASKET MAKER IIL 


TYPICAL DECORATIONS FROM THE INTERIOR OF BOWLS, BASKET MAKER-PUEBLO 
Oo : 


Smithsonian Report, 1935.—Roberts 


PUEBLO YW 


PUEBLO I 


BASKET MAKER IIL 


SOME CHARACTERISTIC VESSELS AND FORMS OF DESIGN IN THE BASKET MAKER- 
PUEBLO PATTERN. 


Smithsonian Report, 1935.—Roberts PLATE 6 


1. PORTION OF ORAIBI, A MODERN VILLAGE IN THE HOPI! AREA. 


2. BUILDINGS AT TAOS, PUEBLO V DWELLINGS 


Smithsonian Report, 1935.—Roberts PWATE 7 


1. A COLONIAL HOHOKAM SITE IN SOUTHERN ARIZONA. 


Medallion Picture, 


2. RECONSTRUCTION OF COLONIAL HOUSE. 
South end left open to show structural features. Entrance passage at left. 


Smithsonian Report, 1935.—Roberts PLATE 


1. CASA GRANDE, CLASSIC HOHOKAM PERIOD. 


2. MODERN PIMA VILLAGE. 


PLATE 9 


Smithsonian Report, 1935.—Roberts 


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CHARACTERISTIC JAR FORMS AND DECORATIONS FROM HOHOKAM POTTERY. 


NUZI AND THE HURRIANS 


THE EXCAVATIONS AT NUZI (KIRKUK, IRAQ) AND THEIR CONTRI- 
BUTION TO OUR KNOWLEDGE OF THE HISTORY OF THE HUR- 
RIANS 


By RoBert H. PFEIFFER 
Harvard University 


[With 2 plates] 


Before 1925 the very name of the Hurrian city of Nuzi was for- 
gotten, and the information about the Hurrians was scanty and 
vague. In 1925 Miss Gertrude Bell, first director of antiquities of 
the Kingdom of Iraq, commissioned Prof. Edward Chiera, of the 
University of Pennsylvania, to undertake archeological excavations 
in northern Mesopotamia under the joint auspices of the Iraq Mu- 
seum and the American Schools of Oriental Research. The chief 
objective of this work was to find the place of origin of certain 
cuneiform tablets with marked characteristics, such as non-Semitic 
personal names and outlandish spellings of Assyrian words, and to 
obtain such tablets by scientific excavations rather than by acci- 
dental finds or illicit diggings on the part of the natives. On the 
advice of Dr. Corner, the resident civil surgeon in Kirkuk, who had 
obtained such tablets from his native patients, Dr. Chiera chose 
for his excavations a small mound near the village of Tarkalan, 
about 10 miles southwest of Kirkuk, and thus he discovered the 
lost city of Nuzi. 

THE EXCAVATIONS AT NUZI 


In 1925-26 Dr. Chiera cleared the ruins of the house of Shurki- 
tilla (about 1500 B. C.) and penetrated into some of the rooms of 
the adjoining house of Tehiptilla. In the latter he found the family 
archives, numbering more than 1,000 cuneiform tablets; 559 of 
these records have been published in five volumes by Dr. Chiera. 

After an interruption of 1 year the excavations were resumed and 
were carried forward during four seasons (1927-31) under the joint 
auspices of the Fogg and Semitic Museums of Harvard University 
and the American Schools of Oriental Research, 


536 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


In 1927-28 Dr. Chiera, assisted by Richard F. S. Starr, of Harvard 
University, and Emmanuel Wilensky, an architect, completed the 
work on the houses of Shurkitilla and of Tehiptilla, excavated an- 
other small mound covering the remains of two similar adjoining 
houses belonging to Zigi and Shilwateshub, respectively, and began 
the excavations of the largest mound in the vicinity, Yorghan Tepe, 
where he uncovered the central portion of the official residence of the 
governor of the city of Nuzi. Of the tablets belonging to the archives 
of Zigi and Shilwateshub, numbering more than a thousand, 265 have 
been edited in two volumes, prepared by Dr. Chiera and the present 
writer, respectively. 

In 1928-29 the present writer, with the assistance of Mr. Starr, Mr. 
Wilensky, and Mr. P. Delougaz, continued the excavation of Yorghan 
Tepe, completing the work on about half of its surface. The great 
central palace and the two less pretentious residential areas adjoining 
it (see fig. 1), all dating from about 1500 B. C., were uncovered, and 
a test pit through the lower levels (in N120) yielded information 
about the occupation of the site during the third millennium B. C. 

In 1929-30 Mr. Starr, assisted by Prof. H. F. Lutz, of the Uni- 
versity of California, Charles Bache, of the University Museum in 
Philadelphia, Robert W. Erich, who made an anthropological study 
of the skeletal remains and the burials, and Mr. Wilensky, discovered 
the two temples situated on the northwestern half of Yorghan Tepe 
(see figs. 2 and 3), uncovered a portion of the city wall at the south- 
western edge of the mound, and investigated Kudish Zaghir, a pre- 
historic mound in the vicinity. 

In 1930-31 Mr. Starr, with Prof. Theophile J. Meek, of the Uni- 
versity of Toronto, Mr. Bache, and Mr. Wilensky, completed the 
excavation of the upper levels of Yorghan Tepe and explored the 
lower levels in the temple area and in room L4 of the palace. In the 
latter pit he found more than 200 tablets dating from the third millen- 
nium, which proved that before the coming of the Hurrians, about 
1900 B. C., the city standing on the site of Yorghan Tepe was called 
Ga-sur. These archaic tablets have been published by Dr. Meek. 


THE STRATIFICATION OF THE MOUND OF NUZI 


Yorghan Tepe rises on the average 5.5 meters above the present 
level of the plain. Virgin soil was reached only at three points: in 
room N120, at a depth of 5.4 meters below the level of the plain; in 
room L4, at a depth of 6.45 meters; and in a well in the court of the 
northern temple at a depth of 8.33 meters. The pit in room L4 was 
, the most rewarding of the three. The 15 distinct levels of human 


537 


NUZI AND THE HURRIANS—PFEIFFER 


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538 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


habitation that were revealed in this pit belong to three main cultures, 
viz, the second aeneolithic, marking the transition between the neo- 
lithic and the bronze ages, the Sumero-Akkadian, and the Hurrian. 
Twenty centuries elapsed from the date of the lowest level to that of 
the uppermost. 

The Second Aeneolithic Culture (second half of the fourth millen- 
nium).—Levels 1-4, extending from 6.45 to 4.17 meters below the 
present level of the plain: 

The archeological material from the first three levels, which is 
fairly uniform, consists chiefly of painted pottery of the “Susa II” 
type. Animal figurines in clay, whorls, needles, flints, and nobbed 
and incised ware were also in evidence. In the adobe walls individual 
unburnt bricks could not be distinguished. On level 4 signs of prog- 
ress begin to appear. A rudimentary potter’s wheel comes into use, 
and new types of pottery begin to displace the graceful painted speci- 
mens of the earlier levels. Well-made unburnt bricks can now be 
easily distinguished in the walls, and infant burials in bowls appear 
for the first time. These significant changes, which do not necessarily 
indicate the advent of alien invaders, were verified in the stratification 
of Kudish Zaghir, a small mound rising to 6.75 meters about 1144 
miles south of Yorghan Tepe. The whole period of human occupa- 
tion on Kudish is limited to the time of the four lowest levels at 
Yorghan, for Kudish was abandoned at the end of the prehistoric 
period. In the region of Mosul (about 100 miles northwest of Nuzi), 
Dr. E. A. Speiser discovered similar conditions: Tepe Gawra, like 
Kudish, is primarily prehistoric; Tell Billah (8 miles away), like 
Yorghan, is both prehistoric and Hurrian. 

The Sumero-Akkadian Culture (third millennium).—Levels 5-13, 
extending from 4.17 meters below the level of the plain to 2.17 meters 
above it: 

Levels 5-11 belong approximately to the first 6 centuries of the 
third millennium; the period between level 11 (0.69 meter below the 
plain) and level 12 (1.6 meters above the plain) as well as level 12 
belong to the last 3 or 4 centuries of the third millennium; level 13 
is dated by a tablet unmistakably Cappadocian about 2000 B. C. The 
culture of levels 5-11, although still presenting some relations with 
the earlier period in its early stages, is fundamentally that of the 
dynasty of Sargon of Akkad (about 2700-2500). This is particularly 
obvious in the case of the wheel-turned unpainted pottery, the cylin- 
der seals and seal impressions (levels 8-10), and the cuneiform tablets 
(most of them on levels 9-10, a few on level 11; a single one, out of 
place, on level 7). Copper came to light on level 6, bronze on level 9. 
The ovens on level 5 are flat and without a vent hole, on level 7 high 
and with an aperture at the top, on level 8 they have the bee-hive 


NUZI AND THE HURRIANS—PFEIFFER 539 


shape that became common in the later city of Nuzi. Certainly dur- 
ing the period represented by levels 8-10, and presumably for the 
whole period of levels 5-18, the name of the city was Ga-sur, and its 
population, as well as its culture, was predominantly Semitic Akka- 
dian. Signs of a marked change begin after level 11 and continue 
through level 12: this period is a time of transition, with a mixture 
of old and new types of pottery and figurines. Level 13 marks clearly 
the end of the city of Ga-sur and the beginning of the city of Nuzi. 

Hurrian Culture—tLevels 14 and 15: Though the Hurrians lived 
at Nuzi from about 1900 to about 1800 B. C., levels 14 and 15 in 
room L4 belong undoubtedly to the great palace of Nuzi and are 
therefore dated about 1550-1450 B. C. 

The stratification of the other test pit, in room N120, confirms 
these conclusions, except for the absence in it of the aeneolithic levels 
(L4, levels 14). The four lowest levels of N120 (5.24 to 1.94 meters 
below the plain) correspond to levels 5-11 of L4 and belong to the 
city of Ga-sur. The present writer was amazed to find on the lowest 
level a complete skull, measuring 0.73 meter in length, of a large 
crocodile. The space between levels 5 (1.94 meters below the plain) 
and 6 (1.5 meters above the plain) corresponds to the transition 
period between levels 11 and 12 of L4. The topmost levels (7 and 
8, 1.95 and 2.76 meters, respectively) correspond to levels 14 and 
15 of L4. 

After the Assyrians destroyed the city of Nuzi in the fourteenth 
century, the site of Yorghan Tepe was virtually abandoned and 
was used principally as a burial ground in Sassanian and Moslem 
times. There are, however, traces of sporadic and insignificant 
settlements. An Assyrian house could barely be identified from its 
indefinite remains. After the beginning of the Christian Era a 
few Parthian houses stood on the mound. Though some of these 
modest dwellings were built on the foundations of the ruined houses 
of Nuzi, they could be dated by the pottery with stamped decorations 
and by a few Parthian coins, drachms and tetradrachms of Vola- 
gases III (147-191 A. D.) One of these tetradrachms is dated in 
the month Dios of the year 153/4 A. D. 


BURIALS 


Two infant burials discovered in the L4 pit (below pavement 4) 
are indubitably aeneolithic. The body of one child was placed 
within a coverless jar and that of the other rested over a large 
potsherd over which a wall had been erected. 

No infant burials of the Ga-sur period have been found. The 
graves of two adults seem to date from the very beginning of the 
Ga-sur period. Though no pottery was placed in the tombs, as in 


540 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


the typically Ga-sur burials, other objects were found with one of 
the two bodies: A copper dagger, a cylinder seal fitted with a copper 
needle, and a copper leaf bent over at one end. 

Thirteen graves of adults discovered in the L4 pit belong un- 
questionably to the Ga-sur period. Each one contained 1 to 5 jars 
or bowls and occasionally other objects. Im one instance shells 
for cosmetics and beads were found; in another, in which the body 
had originally been wrapped in straw matting, two gold beads, a 
crescent-shaped gold earring, a copper pin with a glass knob, and 
a cylinder seal; in a third one, a copper chisel. Two other graves 
of the period were found in N120: One of the bodies was originally 
buried in a wooden coffin and had been provided with five vessels, 
an earring consisting of a silver loop supporting a crescent-shaped 
lapis-lazuli bead, and strings of beads used as bracelets and anklets; 
the other grave contained a large pot, two copper daggers, and 
earrings consisting of copper rings. 

Extensive soundings within half a mile from Yorghan Tepe were 
made, but no cemetery of the city of Wuzt was discovered. Our in- 
formation on the burial of adults in the Nuzi period is therefore dis- 
tressingly meager. Only two burials in L4, utterly devoid of objects, 
belong to Nuzian times. 

Nuzian infant burials, conversely, are abundantly exemplified. 
The remains of children not over 2 months of age were usually forced 
into U-shaped bowls made for funerary purposes only. These ves- 
sels were generally found in an inverted position or covered with 
smaller bowls. Although occasionally they were placed within walls, 
and in one instance inside a walled-up doorway, in most cases they 
were laid in rooms along the walls or, as at Ur in the Larsa period, 
just below the floor. In room $397 no less than 20 funerary bowls, 
each one of which held the bones of an infant, were found on the 
floor singly or in stacks of 2 or 3—all of them, except 2 that may have 
fallen from the stacks, in an inverted position. With these funerary 
bowls was also an urn, with a hole at the bottom and covered with 
an inverted bowl, containing the bones of several infants. Elsewhere 
a similar urn with a cover, containing the bones of at least 11 chil- 
dren, was found in the foundation of a wall; a third urn, with a 
large round opening at the bottom and a bowl covering the top, 
contained the bones of 5 children; it stood on the floor of a room. 
Three covered oval basins of unbaked clay, each containing a skele- 
ton, were found in the foundations of walls or, in one instance, below 
a pavement. One of them had a few beads inside it and a vessel 
beside it—in fact, the only known example of Nuzian funerary 
donations. 


NUZI AND THE HURRIANS—PFEIFFER 541 


The method in the disposal of the bodies of these infants cannot 
be inferred with absolute certainty from the finds. For though it 
is obvious that the bones, belonging in one instance to as many as 
11 children, were dry and fleshless when placed inside the urns, the 
same cannot be asserted with equal assurance for the funerary bowls. 
It would have been possible to force a corpse immediately after death 
into one of the bowls and the actual condition of the finds is not 
inconsistent with this procedure, but it is rather difficult to conceive 
the presence of such bowls filled with decaying flesh on the floor of 
an inhabited house. The rooms containing funerary bowls belong 
to private dwellings, never to the palace or temples, and were not 
the rooms commonly lived in; they were, however, easily accessible. 
Nothing indicates that these rooms were domestic shrines. Few of 
the private dwellings had such mortuary chambers, and hardly any 
contained more than 1 burial jar; a few houses had 3, one 4, and 
one, $397, 20. 

The natural assumption that these burials represent infant sacri- 
fices, nay foundation sacrifices, cannot be demonstrated beyond doubt 
by means of the available evidence at Nuzi and elsewhere. In 
Palestine, for instance, the infant jar burials in the foundations of 
walls at Gezer and Megiddo may have been actual foundation sacri- 
fices, but there is no literary evidence for this practice, for Joshua 
6: 26 and I Kings 16: 34 are irrelevant in this connection. In any 
case, numerous other jar burials at Taanach, at Gezer, and at Car- 
thage, like most of the Nuzi burials, bear no relation whatsoever to 
the foundations of walls. At Nuzi most of the funerary bowls were 
placed inside of inhabited houses; moreover, four Nuzi burial bowls 
came to light at Kudish Zaghir, where no houses had been erected 
for centuries. Though foundation sacrifices are unknown at Nuzi, 
it is not improbable that many of these children were sacrificed, but 
without the sanction of the official religion. If infant sacrifice were 
practiced, this barbarous rite probably originated in prehistoric 
times (for infant jar burials were found, as we have seen, in the 
aeneolithic levels), and savored of superstitious magic. It had either 
an apotropaic purpose (protection from evil influences) or, as the 
downward opening of the bowls and urns indicates, served as a 
propitiation to chthonian (i. e., subterranean) deities in the under- 
world. In any case the spirit of the deceased was to be barred from 
the land of the living. 


THE TEMPLES 


The excavations in the temple area have brought to light a series 
of seven sanctuaries, built or restored on the same site, during the 
period of a millennium (approximately 2500-1500 B. C.). The two 


542 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Reproduced at twice the scale 


FIGURE 2.—The temples of Ga-sur (G, F) and of Nuzi (E, A) from 2500 to 1500 B. C. 


NUZI AND THE HURRIANS—PFEIFFER 543 


lowest and earliest ones (indicated, for convenience, with the letters 
G and F) belong to the city of Ga-sur; the five later ones (indi- 
cated with the letters KE, D, C, B, and A) to the city of Nuzi (see 
figs. 2 and 3). The building below Temple G, judged from its 
plan, was not a sanctuary. 

Temple G exhibits the stately and unadorned massiveness and the 
simple symmetry characteristic of the ancient Babylonian shrines. 
The thick buttressed adobe walls of the rectangular structure may 
have supported turrets at three of the corners, though not at the 
corner by the entrance. The entrance door is preceded by a narthex 
(or outer porch) and gives immediate access to the adytum (or 
shrine) (G29). Within the adytum, in the wall facing the entrance, 


Ficurn 3.—Restored perspective view of the temple area, in its last stage, from the 
north. 


2 doors admitted to 3 dark chambers tunneled inside of 2 walls; these 
narrow chambers could be locked and were conceivably used for stor- 
age. This temple, as the later ones, may have had a courtyard, but 
if so it has been totally obliterated. 

Temple F is radically different from G. The adytum (G29), on 
the same level, was made considerably narrower by increasing the 
thickness of the walls. At the same time the chambers inside the 
walls were completely filled with carefully laid unburnt bricks, 
thus producing external walls of extraordinary width and solidity. 
The narthex was transformed into an enclosed vestibule provided 
with two external doors, one leading to the street, the other to the 
enclosed temple court. Of far greater importance than these changes 
is the erection of another complete temple along the southeastern 
wall. The new edifice was far less pretentious, but its adytum (G53) 
and the court (H20) were more spacious, its buttresses more con- 
spicuous. Two chambers were built within the court; one was 


544 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


accessible only from the court of the northern temple, the other 
served as a vestibule opening on the principal street. There was a 
gateway between the two courts in Temples F, E, D, but it was 
closed in Temples C, B, A. 

The adytum of the older temple (G29) in this period (F) is at its 
best. A low altar of unburnt bricks (about 1 meter to the side and 
0.33 meter high), with a concave top still retaining traces of fire, stood 
before the end wall, presumably in front of the image of the deity 
(Ishtar?). A raised brick at one of the corners of the altar served 
perhaps as the pedestal for the clay model of a 8-story house found 
in fragments nearby. A pilaster (1.26 meters wide and 0.56 meter 
deep) occupied the center of the end wall and had a step (0.15 meter 
high) before it and two platforms (0.32 meter high) at its sides. The 
lower part of the walls was wainscoted, and their upper part was 
painted red. 

The work of restoration that produced the / Temples, undertaken 
presumably by the newly arrived Hurrians, was confined at first to 
the southern temple. In the adytum (G53) a square column of mud 
brick, apparently used as a pedestal, stood about 1 meter from the end 
wall, slightly off center. Along the lateral walls stood benches of 
unburnt brick (0.387 meter high and wide), not unlike those that in 
the early Ishtar temple of Ashur supported divine images. The 
adytum was divided into two chambers but only for a time. A group 
of rooms of inferior construction surrounding a courtyard occupied 
about half of the area of the temple court (H20). 

When the northern temple was restored after a period of complete 
neglect, the two temples were almost separated by means of a narrow 
blind alley, but this passage was blocked again to strengthen the walls. 
The rebuilders of the northern temple preferred to follow the lines 
of the wider adytum of G rather than those of F and imitated some 
of the features of the adytum of the southern temple (G53). The 
walls were narrowed and had more pronounced but less graceful but- 
tresses than in F; an isolated pedestal stood near the end wall, and 
benches were built along the walls right and left of the main en- 
trance. Another door was opened into the adytum from the court, 
and a dark chamber was added. In the courtyard (G50) the vestibule 
leading into the adytum was removed, but two small rooms, one of 
which sheltered a well, were built along the walls. Subsequently, 
perhaps in the period of temple D, 2 niches were dug in the end wall 
of the adytum at the 2 sides of the pedestal. 

Temple D, in a general way, represents merely a superficial restora- 
tion, with occasional wall painting, of temple E. The level of the 
southern temple (G53) was 0.3 meter higher than that of E, whereas 
that of the northern temple (G29), rebuilt more recently, remained 


NUZI AND THE HURRIANS—PFEIFFER 545 


unchanged. In G29 a square hearth, consisting of four bricks flush 
with the pavement, was used as an altar. Near it was a bowl em- 
bedded in the floor, serving an unknown purpose. 

In Temple C the two edifices were separated by a passage giving 
access to the northern court (G50), and the gateway between the two 
courts was permanently walled up. In the adytum of G29 the bench 
on the northwestern wall was removed. Four rooms were built in the 
court (G50), and rounded buttresses were added to its northeastern 
wall. The well and the room housing it were abandoned, but an oven, 
a storage pit for cereals, and a cooking stand were now provided for 
the temple attendants. In the southern temple (G53) the rooms 
located in the court (H20) were rebuilt on a new plan. Some of these 
rooms were eliminated in Z’emple B, which presents no other notable 
changes. 

Temple A was never rebuilt after being looted by the Assyrians. 
The passage separating the two shrines was narrowed, some of the 
rooms in the two courts were rebuilt with changes, and processional 
brick sidewalks, leading from the main street entrance to the prin- 
cipal door of the shrine, were laid in each court. In the northwestern 
wall, as in temple F, a new entrance was opened into the court of the 
northern temple (G50). 

The cupidity and vandalism of the looters wrought havoc with the 
decorations and statuary in the adytum of the northern temple 
(G29). The statue of Ishtar that presumably stood on the pedestal 
in G29, judged from a few small fragments that have been recovered, 
was slightly smaller than life size and was modeled in clay, partly 
glazed green, and partly covered with a thin sheathing of gold. Two 
pairs of fine clay lions, one pair couchant, painted red with spots of 
yellow glazing (pl. 1, fig. 1), the other pair standing, glazed green; 
a sheep’s head and a boar’s head glazed green; bizarre angry lions 
couchant and grotesquely fat standing ones used as jars, all in plain 
clay; Ishtar figurines and amulets; and thousands of beads hanging 
originally in festoons along the walls or set in the mud _ bricks, 
adorned the adytum. Most of these objects, however, were thrown 
into the court by the looters. Many of these ornaments, found on the 
floors of Temple A, belonged originally to earlier temples. 

The southern temple, probably dedicated to Teshub, the weather 
god of the Hittites and Hurrians, was far less ornate; no glazed ware 
and statuary, comparable to that of the older temple, came to light 
in the adytum or in the court of the southern temple. 


THE CULTURE OF GA-SUR 


Temples G and F, already described, are the only buildings of the 
city of Ga-sur (third millennium B. C.) that were completely exca- 


546 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


vated; Ga-sur levels were reached elsewhere only in the test pits that 
were sunk in rooms L4 and N120. 

Through the conquests of Sargon of Akkad (Agade) and of his 
great dynasty (about 2700-2500 B. C.), the first Semitic empire in 
history was established and the Akkadian culture, which was much 
indebted to the earlier Sumerian culture, was carried to northern 
Mesopotamia and even into Asia Minor. Ga-sur was one of the 
Akkadian colonies established to develop commercial intercourse be- 
tween the distant regions of the empire, and it is of particular im- 
portance to us because it is the only one, outside of southern Baby- 
lonia, of which we have commercial records. These cuneiform 
tablets of Ga-sur consist of letters, receipts, contracts, land records, 
and the like. They bear witness to business relations over a wide 
territory, extending from Ashur in the west to Simurrum and 
Hamazi in the east, and reaching as far south as Akkad. The rela- 
tions with ancient Ashur, which at the time was likewise largely in- 
habited by Akkadians (though both Ashur and Ga-sur may have 
been originally Sumerian), were particularly close—if not always 
friendly. In one of the early inscriptions from Ashur a certain 
Ititi relates the dedication of a certain object “from the booty of 
Ga-sag” (a variant spelling of Ga-sur) to the goddess Ishtar. This 
name Ititi is of frequent occurrence at Ga-sur, where many of the 
500 personal names known contain a similar repetition of a syllable 
(e. g., Ababa, Bazaza, Bazizi, Bubu, Dada, Dudu, etc.; the latter 
three are also divine names). Such iterative names were common in 
Babylonia during this period, but they tend to disappear there about 
2300 B. C. Their popularity persisted, however, in Elam and Cap- 
padocia—an indication of the non-Semitic origin of this vogue. At 
Ga-sur, however, most of the personal names, including the iterative 
ones, are Semitic. 

The earliest geographical map known to us was found among these 
clay tablets. It shows two rivers, joined at the southeastern corner 
of the map—the Rakhiwm, which empties itself through three chan- 
nels into a northern sea, and the . . .-7w-wm, which flows westward; 
also two chains of mountains and three or four cities, one of which 
is called Mashkan-dur-Ibla, “the site of the fortress Ibla.” The 
identification of the region represented by the map rests on the in- 
terpretation of the words “ sha-ad/t a-za-la” written in its center. 
If we translate “Mount Azala”, the region is somewhere in north- 
ern Syria between the Anti-Lebanon and the Zagrog range, where 
there is a city named Ibla; if, however, we translate “field of 
Azala” or “belonging to Azala ”, the map represents a landed prop- 
erty, comprising “ 354 ku of cultivated land ”, belonging to a certain 


Azala. 


NUZI AND THE HURRIANS—PFEIFFER 547 


The pottery ware of Ga-sur is of three types, domestic, sepulchral, 
and sacred. The first type exhibits such practical devices as handles, 
spouts, and holes for the insertion of rope holders, as well as decora- 
tions and burnishings, that are totally lacking in the more archaic 
and severe vessels buried with the dead. The temple vessels are 
more consciously artistic both in ornament and shape. The decora- 
tion is rarely in relief but consists usually of designs, made with 
incised lines, and of stippling. The most characteristic in shape 
among the vessels for ritual use are the theriomorph (or animal- 
shaped) containers, representing birds, and jars with spouts in the 
shape of a ram’s head or having a snake in relief on the outer sur- 
face. One of the large storage jars has a border showing a wolf, in 
relief, attacking nine heads of cattle guarded by a man and a dog, 
all of which are outlined with incised lines. 

Comparatively few clay figurines were found on the Ga-sur levels. 
One represents, in low relief, a god and a goddess seated side by side. 
Animal figurines are rare, whereas models of beds and of chariots are 
common. Reliefs of female figures in white marble are more common 
than clay ones, whereas the opposite is true in the Nuzi period. ‘Three 
cylinder-seal impressions on clay are known: one has a geometric 
design, another represents the familiar scene of a worshipper led to 
a deity, and the third one represents a pair of intertwined standing 
bearded bulls and a pair of intertwined standing lions. This last 
impression is on a bulla, which, according to the inscription, sealed a 
receptacle containing a “balance of sesame.” Among metal objects, 
copper ones are the most varied: a small standing figure, sun disks, 
crescents, pins, bracelets, a small football-shaped bell, daggers, and 
sickles. One of the sickles has the puzzling inscription “an ud za”— 
possibly the name of a deity otherwise unknown. 

The culture of Ga-sur is fundamentally Akkadian. However, a 
well-written Sumerian catalog of occupations and professions and the 
common use of Sumerian ideograms in the tablets indicate a decided 
Sumerian influence at Ga-sur. The culture of Ga-sur presents 
striking similarities with that of Ashur. Near the end of the third 
millennium Ga-sur had close commercial relations with the trading 
posts that Ashur had established in Cappadocia, as shown conclu- 
sively by the Cappadocian letters found at Ga-sur; the unexpected 
discovery of typically Hittite double axes at Ga-sur corroborates this 
evidence of the relations of Ga-sur with Asia Minor. 


THE BUILDINGS OF NUZI 


Nuzi proper is really an acropolis rather than a city. There is no 
reason to assume that Nuzi extended appreciably beyond the edges of 


Yorghan Tepe, a square mound measuring 200 meters on a side, with 
36923—36——36 . 


548 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


its corners oriented toward the points of the compass. The exact 
limits of the town are, of course, unknown, for erosion has completely 
obliterated the city wall except at one point on the southwestern 
side. This wall belonged to the late Ga-sur period, but the gate- 
way connected with it seems to have continued in use in the Nuzian 
period. Within the walls, on the upper levels of Yorghan Tepe, were 
the temples already described, the government palace, offices, and tene- 
ment houses. Outside the walls, arranged in two groups north and 
northeast of the town, were the suburban homes of the more affluent 
Nuzians. Two of these suburban houses have been excavated, the 
double house of Tehiptilla and Shurkitilla, and the double house of 
Zigi and Shilwateshub. 

The town of Nuzi was presumably enclosed within four walls meas- 
uring about 200 meters on a side. The main street, connecting the 
two city gates at the center of northeastern and southwestern walls, 
divided the city into two quarters, the temple area in the northwestern 
section and the palace compound in the southeastern. This street, 
which was the only paved street of the town as well as the widest and 
best drained, was the principal traffic artery of the congested town. 

The temple area.—The temples were built along the principal street 
and were surrounded on the three other sides by closely constructed 
apartment houses, which were generally more spacious than the simi- 
lar dwellings adjoining the palace. The building at the northern 
corner of the city seems not to have been used for residential purposes 
during the last years of Nuzi, and it is the only one that was rebuilt 
on the same plan when the city was destroyed. Its proximity to the 
temples, the presence of pavements of unburnt brick laid over a 
porous substratum, and its generally careful construction indicate 
that it was a public building, possibly the business office of the temples 
or the treasury of the town. 

The palace area (fig 1).—Like the temples, the great palace of 
Nuzi adjoined the main thoroughfare and was flanked on the north- 
east and on the southwest by residential areas. On the southeastern 
side erosion has totally obliterated the buildings that presumably 
stood there. Two narrow lanes, beginning probably at the main street, 
separated the palace from the residential compounds and gave access, 
through doors and alleys, to the several apartments of the two resi- 
dential districts. 

The southwestern district was better planned than the northeastern. 
Only 3 of the 18 separate apartments in this area, however, had a 
drainage system, and none had a well. 

The northeastern district was less extensive and less intact than 
the other. Of the 8 separate dwellings of the district, 3 had paved 
courtyards. Within some apartments certain groups of rooms were 


NUZI AND THE HURRIANS—PFEIFFER 549 


segregated and independent. The rooms closest to the palace, which 
are generally smaller, may have housed servants of the governor. 
One of the house units actually utilizes the palace wall. 

The great palace of Nuzi, by far the most important and best built 
edifice of the city, was the government building and the official resi- 
dence of the governor of Nuzi. Through an admirable general plan, 
more than 100 large and small rooms were organically related within 
a single architectural structure. The massive walls, the brick pave- 
ments of courtyards accurately laid over a stratum of sand, the effi- 
cient drainage system, and the abundant sanitary facilities cannot be 
matched in the other buildings of Nuzi. At “the gate of the palace ”, 
according to the records, many of the tablets were written, but this 
gate has been totally obliterated by erosion. The location of this 
gate can be fixed, with reasonable assurance, at the northern cor- 
ner of the building on the main street near the northeastern city gate. 
Through this entrance one entered a spacious courtyard (M94) pro- 
vided with seats along the walls, ostensibly for the convenience of 
those seeking audience with the governor or transacting business at 
the gate, according to the well-known practice of the Israelites. A 
door in the southwestern wall of M94 led to three rooms of decreas- 
ing size (M 89, 79, 78), two of which gave access to the great central 
courtyard of the palace (M100). Two doors in the southeastern wall 
of M94 led to a subordinate eastern wing of the palace having no 
direct access to the central courtyard. This wing probably housed 
minor officials; its southwestern portion consisted of a kitchen and 
bakery built around a courtyard with a square well; its northeastern 
section comprised business offices, a courtyard with a round well, 
restricted sleeping quarters, and water closets. 

The main central courtyard (M100) was originally paved in baked 
bricks; the bricks of its central portion were removed while still 
exposed after the destruction of the building. Brick facings still 
remain along its four walls and within its eight doorways. Sub- 
terranean terra-cotta pipes drained the rainwater from the roofs. 
After passing under the kitchen and the water closets of the service 
quarters at the eastern corner of the palace, the water carried the 
refuse through a brick cloaca maxima to a considerable distance in 
a southeasterly direction. The three doors in the southeastern wall 
of the courtyard led to a group of rooms, partially obliterated, 
adjoining the service quarters. The two doors in the northeastern 
wall were the entrances from the street (through M94 and two vesti- 
bules). One of the two doors in the northwestern wall led to a 
group of rooms built around a paved courtyard (L101); one of them 
was a Storage cellar containing 37 large jars and smaller vessels. 

The great doorway through the southwestern wall, the most im- 
portant of the eight in the courtyard, had twin wooden doors and 


550 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


a porch supported by pillars standing originally on two extant plat- 
forms. This door led into a large anteroom (LL20) giving access to 
the largest and most imposing room of the palace, L11, located at the 
center of a group of unusually small rooms—the reception hall of 
the governor. The doorway from the anteroom had a massive 
wooden door studded with copper nails, some of which were covered 
with thin silver sheathing. The lower part of the walls of the 
audience hall was painted in bright red, as also a dais, 0.22 meter 
high, along the northwestern wall; the upper portion of the walls 
was probably decorated with elaborated painted friezes, if we may 
judge from the remarkable fresco (pl. 1, fig. 2) adorning a dark 
corridor (L15b) leading to the most richly appointed water closet 
of the palace (L25). The design of two upper bands of this painted 
frieze, divided off vertically by the typically Nuzian twisted rope 
motif, is geometrical; the lowest one consists of a series of panels 
representing the conventionalized sacred tree, an ox head, and a 
broad female face with cow’s ears and Egyptian coiffure. The style 
of this fresco is vaguely Minoan. In other rooms surrounding the 
reception hall the lower part of the walls still retains traces of broad 
painted black-and-gray stripes. All these rooms connected with the 
audience hall were obviously the living quarters of the governor of 
Nuzi, but their specific use is not easily determined, except in the 
case of storage rooms and of the single water closet (25) in this 
part of the palace. It is possible, however, that one of the rooms 
northwest of the hall was the private chapel of the ruler of the city. 


THE WRITTEN RECORDS OF NUZI 


The clay cuneiform tablets of Nuzi, dating from about 1550 to 
1350 B. C., number more than 4,000. A few were found accidentally 
by natives and have been known for years, but the bulk of them 
were unearthed in the excavations of 1925-31, about half at Yorghan 
Tepe and half on the suburban Nuzian homes. Practically no tab- 
lets of the Nuzi period from Yorghan Tepe have been included 
among those, numbering nearly 1,000, that have been published. 
This cursory survey, however, will not be confined to the published 
material. 

The archives from the houses of Tehiptilla and of Shurkitilla dis- 
close the commercial and domestic activities of the descendants of 
Puhishenni through four generations, but primarily those of his son 
Tehiptilla, whose name appears in at least half of these records. 
Judged from the 559 tablets published by Professor Chiera, most of 
these texts are conveyances of real estate (in the form of contracts 
of adoption, affidavits, and court decisions) by the indirect method 
of adoption and bequest. Exchanges of fields, mortgages, loans, and 


NUZI AND THE HURRIANS—PFEIFFER 551 


receipts are also abundantly represented in these archives. The 
house of Tehiptilla prevailed in court over its opponents in all the 
53 lawsuits on record. Far less numerous are the documents of the 
following types: Adoptions of free women for marriage to house- 
hold slaves; marriages, wills, stipulations of voluntary slavery on 
the part of “Hebrews” (Habiru), agreements, gifts, sales of horses, 
bills of lading, contracts for the hire of harvesters, letters, lists, 
inventories, and so on. 

All these types of documents appear, in varying proportions, in 
other family archives. The house of Zigi was less concerned in 
the acquisition of landed property, through inheritance from the 
fictitiously adoptive fathers, than the house of Tehiptilla; its pre- 
served records deal primarily with family matters, such as mar- 
liages, wills, genuine adoptions, with litigation in court concerning 
such matters, and with mortgages. Shilwateshub, son of the King, 
according to his tablets, increased his wealth by making loans of 
cereals, payable with the interest after the harvest, and by sheep 
raising. A lady named “ Tulpunnaya”, whose records were found 
in room N120 of the palace, adopted young women for marriage to 
her servants or, against the payment of the bridal price, to Nuzian 
bachelors. She claimed the offspring of the wives of her slaves as 
her property and she also added to her household servants by seizing 
the persons of her debtors or of their sons pending the complete 
repayment of the loan. Puhishenni, the son of Mushapu, who lived 
in the district northeast of the palace, acquired fields through adop- 
tion, raised sheep, and loaned sheep and cereals at interest. He once 
provided an illiterate shepherd with a hollow, egg-shaped tablet 
containing 49 pebbles corresponding to the 49 sheep entrusted to his 
care, according to the inscription on this tablet and on the duplicate 
record retained by Puhishenni. 

Aside from private records, such as those of Tulpunnaya and 
Puhishenni, the tablets from the palace of Nuzi include official doc- 
uments, such as lists of tax collections and of payments of wages to 
female weavers and other workers, records of payments (from the 
state treasury?) for the support of the “queen” of Nuzi and the 
“queen” of the City of the Gods, reports on military inspections, 
religious and scholastic texts, and court records. Among the last 
is the transcript of the testimony presented in a suit for the impeach- 
ment of a governor accused of soliciting bribes. 


THE HURRIANS AND THEIR CULTURE 


Hurrian personal names occur sporadically in the third millennium 
B. C. in Babylonia and in Cappadocia, but the great Hurrian mi- 
gration is not earlier than the beginning of the second millennium. 


aoz ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Soon after 1900 B. C. we find the Hurrians in undisputed occupa- 
tion of the conquered cities of Nuzi and Tell Billah (just north of 
Mosul). Not long after, their presence is attested in Palestine and 
in Syria. The Old Testament calls them Horites, and the Egyptian 
name for Palestine beginning with the New Kingdom is Haru or 
Huru. Hurrian names occur in the cuneiform tablets of Taanach. 
The Tell el-Amarna records and the Hittite archives vouch for their 
presence at Aleppo and elsewhere. At Ras Shamra, near Latakiyeh, 
Hurrian texts in a new cuneiform alphabet have recently come 
to light. 

The connection between the spread of the Hurrians and the other 
great ethnic movements in the first half of the second millennium, 
namely, the Hyksos invasion of Egypt, the Cassite conquest of 
Babylonia, and the appearance of the Indo-Iranians in Anatolia, 
is still obscure, because we have no information concerning the place 
of origin and racial stock of the Hurrians. Their very name is in 
dispute and appears variously, in recent publications, as Harri, Mitan- 
nians, and Subareans. 

The kingdom of Mitanni, on the upper Euphrates, is the only 
Hurrian state that played an important role in international affairs. 
Its population and its language were primarily Hurrian, but the 
kingdom was organized and dominated by an Indo-Iranian aristo- 
cratic minority that exhibited a genius for government and, inci- 
dentally, a love for the horse that are typically Indo-European. 
The kingdom of Mitanni, which lasted from the early part of the 
fifteenth century, B. C., to the middle of the fourteenth, had as 
its first king Saushattar, the son of Parsashatar: A letter addressed 
to a local official at Nuzi and bearing his seal was found in the 
house of Shilwateshub. 

Four groups of documents yield what little information we have 
about the Hurrian language: A letter of Tushratta, king of Mittani, 
to Amenophis III of Egypt (found at Tell el-Amarna in Egypt) ; 
a glossary and some texts found at Ras Shamra, near Latakiyeh; 
some tablets in the Hittite archives of Boghazkeui; and the tablets 
from Nuzi, written in Akkadian but containing occasional Hurrian 
words and thousands of Hurrian personal names. 

The Hurrians that settled in the district of Arrapkha (Kirkuk) 
not long after 2000 B. C. organized a small kingdom that included 
the city of Ga-sur, renamed Nuzi by these Hurrian conquerors. One 
of the early Hurrian kings of Arrapkha was Itkhi-Teshub, the son 
of Kibi-Teshub. One of his inscriptions and three tablets bearing 
the impression of his seal have been found at Nuzi. He worshipped 
Teshub (Adad) and Ishtar of Lubdu. Two other kings mentioned 
in the tablets from Nuzi, Itkhiya, and Kirenzi may have followed 


NUZI AND THE HURRIANS——PFEIFFER 553 


Itkhi-Teshub on the throne a considerable time later. Early in the 
fifteenth century, however, the district of Arrapkha, including Nuzi, 
became, with Saushshattar, an integral part of the kingdom of Mi- 
tanni. Apparently there never was a king of Nuzi, although sons 
of the king, like Shilwateshub, and “ queens” resided there. The 
highest authority at Nuzi was the local governor, responsible at first 
to the king of Arrapkha and later to the king of Mitanni. A few 
tablets at Nuzi are dated according to the governors of the time. 
A governor named Kushshiharbe, according to a mass of specific 
testimony, was no less corrupt and high-handed than Verres. 

The population of Nuzi was racially a mixture of Hurrians and 
Akkadians, and it remained bilingual, for Akkadian was the literary 
language and Hurrian the vernacular. At present, likewise, there 
are Turkomans, Kurds, and Arabs, speaking at least two of their 
three languages, living in the same region. The culture of Nuzi, 
however, is basically Hurrian, in spite of clear signs of Akkadian 
influence. The Hurrian invaders were on a much lower cultural 
level than the population of Ga-sur. Even though they made rapid 
progress after the conquest of the city, they never quite attained 
the refinement and elegance of the vanquished. The pottery and 
the figurines of Nuzi, for example, are decidedly cruder than those 
of Ga-sur. It is only in painting and in seal engraving that the 
Hurrians developed an artistic style of their own (pl. 2). 

After the conquest the Hurrian leaders divided the land among 
their soldiers and established a feudal system in which the landowner 
was subject to the corvée and prevented from selling his land. The 
sale of a field could be effected legally only indirectly, by bequeathing 
it to the buyer after he had been adopted. Adoption for a price was 
a convenient device for other purposes as well: Free women were 
adopted for marriage to slaves or sons, occasionally even for sacred 
prostitution. Some persons, particularly childless widows and 
elderly couples, adopted a man of wealth, transferring to him at once 
all their possessions and obtaining in exchange a lifelong support and 
decorous burial at his expense. 

Times of economic stress gradually deprived the small landowner 
of his holdings and even reduced him to the condition of a slave. 
Forced to borrow on the security of his land or of the person of his 
son, who served the creditor until the debt was repaid, the farmer 
would eventually be forced to adopt his creditor, thus depriving his 
family of the ancestral estate. The rich, in the words of Isaiah, 
“joined house to house and added field to field”, whereas the poor 
were being sold into slavery, as Amos said, for the value of a pair of 
shoes. The middle class eked out a rather precarious existence in 
the various professions and skilled crafts on account of the competi- 


554 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


tion of well-trained slaves, who, though they worked for their masters, 
were allowed to own property of their own and to engage in business 
on their own account. When a poor wretch in desperation dared to 
challenge the claims of his wealthy antagonist in a court of law he 
was confronted with well-authenticated contracts or affidavits and 
with oral testimony; defeated in his claims, he was not only obliged 
to fulfill his obligations but became liable for a pecuniary compen- 
sation. When no oral or written evidence was available, the judges 
had recourse to the ordeal, a prospect so terrifying to the poor that 
they instantly yielded to their antagonists on all points. 

Polygamy was permitted but was not common. The number of 
concubines and slave wives was generally optional: a son of Tehip- 
tilla, for instance, had 24 women in his harem. Some marriage 
contracts, however, specified that the wife would furnish a concubine 
to her husband only if she should be childless (exactly in the cases 
of Abraham and Jacob). At the death of the husband the widow 
held the estate (except for property previously deeded to a son) 
in trust for her sons. She could leave a few small items to a favo- 
rite son, in addition to his rightful share. If a widow remarried, 
she retained only her personal effects. Occasionally a widow in- 
herited only movable property, of which she could dispose at will. 
The bridegroom paid to the father of the bride or, if he were dead, 
to her brothers a stated amount averaging 30 shekels of silver—the 
legal price of a slave. A portion of the bridal price was set aside 
as dowry for the bride. In the few recorded cases of divorce the 
husband took the initiative. 

The chief deities of the Hurrians, at Nuzi and elsewhere, were 
Teshub, the Hittite weather god, and Ishtar. The two temples of 
Nuzi were in all probability dedicated to these deities, for there was 
in Nuzi a commander of the guard of the temples of Ishtar of 
Nineveh and of Teshub. Ishtar had several manifestations: she was 
Ishtar of Nineveh as consort of Teshub, Ishtar Humella as consort 
of Nergal, and Ishtar Dupkilkhe as consort of Sarie. The gods Bel 
Ulamme and Zizae have consorts, but they are not named. The 
following gods of neighboring towns are known from tablets listing 
deliveries of oil to them: Ahulae, Azuihhe, Kumurra, Tilla, Tirwa, 
Zarwan; and also several other manifestations of Ishtar (I. Allai- 
washwa, I. Bélat-duri [mistress of the wall], I. Kubawa, I. Putahhe) 
as well as two Babylonian gods (Nergal and Shamash). Other 
Babylonian gods and two Hurrian gods (Til-Enhl and Har-Nuzu) 
are named in school exercises listing the sacred ships in which the 
divine images were carried in procession during the Babylonian New 
Year festival. A portion of a great Babylonian astrological treatise, 
hitherto known only through later and more corrupt copies, was 


NUZI AND THE HURRIANS—PFEIFFER 555 


found at Nuzi. It deals with omens derived from earthquakes and 
begins with the words, “If the earth trembles in the month Nisan, 
the ruler’s country will rebel against him.” 

Although the tablets from Nuzi make no direct reference to mili- 
tary operations, there are among them some reports on the inspection 
of troops and of weapons. The two main divisions of the army, the 
right and left flank, comprised chariotry, cavalry, and archery. 
Individual companies were under the command of an officer. A large 
tablet lists more than 2,500 men of various garrisons, belonging to 
various subdivisions of the army, who were demobilized. The inven- 
tories of military equipment enumerate weapons damaged or lost, 
either before or after the battle, and weapons removed from arsenals 
for delivery to officers. The war material listed in these reports 
comprises bows, quivers, and arrows; axes and adzes; trappings for 
horses; shields and spears; coats of mail for men and for horses. 
The complete breast piece of a coat of mail, made of copper scales 
sown on a leather jacket, and many isolated scales of various sizes, 
were found at Nuzi—the earliest examples of such defensive armor 
known to us. Some coats of mail, particularly those for horses, had 
leather scales. 

The military organization and equipment of the Nuzians did not 
save their city from conquest and destruction. Soon after the end of 
the Kingdom of Mitanni about the middle of the fourteenth century, 
the Assyrians, presumably under Enlil-nirari (about 1340), or Adad- 
nirari I (about 1300), sacked and destroyed Nuzi with frightful 
ruthlessness, as shown by the condition of the ruins uncovered in the 
course of the excavations. Shortly before the fall of Nuzi, a grand- 
son of Tehiptilla named Takku recorded with stolid objectivity the 
spoliation and deportation of the Hurrians of Tursha, a town not 
far from Nuzi; the Assyrians pursued them into the inhospitable 
recesses of the forests, enslaved the captives, and slew those that 
offered the slightest resistance. The fall of Tursha was but the pre- 
lude of the fall of Nuzi. Only a handful of Nuzian families, for- 
tunate enough to escape the disaster, were bold enough to return to 
their city, rebuilding a few houses on its ruins. But this miserable 
remnant soon disappeared, and Yorghan Tepe, under which the for- 
gotten city of Nuzi lay buried, forsaken by the few Parthian families 
who had settled on it for a time, became a Sassanian and Moslem 
cemetery—and eventually the grazing ground for sheep and goats. 


BIBLIOGRAPHY 
ARCHEOLOGICAL REPORTS 


(The final and complete report on the excavations at Nuzi, prepared by R. F. 8. 
Starr, has not yet been published) 


556 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Excavations in 1927-28. 
CHIERA, EB. 
1928. Bull. Amer. Schools Oriental Research, no. 32, pp.15-17, December. 
Lyon, D. G. 
1928. Harvard Alumni Bull., June 21 and Nov. 29. 
1928. Kirkuk. Harvard Univ. 
Excavations in 1928-29. 
PFEIFFER, R. H. 
1929. Yorgan Teppe. Bull. Amer. Schools Oriental Research, no. 34, 
pp. 2-7, April. 
Srarr, R. F. S. 
1930. Kirkuk Expedition. Fogg Mus. Art, Harvard Univ., Notes, vol. 2, 
no. 5, pp. 182-197. 
Lyon, D. G. 
1929. Harvard Alumni Bull., June 13. 
Excavations in 1929-30. 
Starr, R. F. S. 
1930. Notes from the excavation at Nuzi. Bull. Amer. Schools Oriental 
Research, no. 88, pp. 3-8, April. 
Lyon, D. G. 
1930. Harvard Alumni Bull., May 1. 
Excavations in 1930-31. 
PFEIFFER, R. H. 
1931. The excavations at Nuzi. Bull. Amer. Schools Oriental Research, 
no. 42, pp. 1-7, April. 
Srarr, R. F. S. 
1931. Excavations in Iraq. Bull. Fogg Mus. Art, vol. 1, no. 1, pp. 6-14. 


Tum TABLETS oF GA-SUR 
MEEK, T. J. 

1933. Some gleanings from the last excavations at Nuzi. Ann. Amer. 
Schools Oriental Research, vol. 18, pp. 1-11. 

1935. Old Akkadian, Sumerian, and Cappadocian texts from Nuzi. Excava- 
tions at Nuzi, vol. 3. Harvard Semitic Ser., vol. 10. Harvard Univ. 
Press. 

1935. The iterative names in the Old Akkadian texts from Nuzi. Rey. 
d’Assyriologie, vol. 32, pp. 51-55. 


THE TABLETS oF NuzrI 


Editions of the texts in the original. 
1931. Bibliography of the 137 texts published before 1927 by Gadd, Con- 
tenau, Ungnad, and others. Ann. Amer. Schools Oriental Research, 
vol. 11, p. 63. 
CuHIERA, E. 
1927-34. Joint Expedition with the Iraq Museum at Nuzi. Publications 
of the Baghdad School, vols. 1-5. (Vols. 1-3, Geuthner, 
Paris, 1927-31; vols. 4-5, Univ. Pennsylvania Press, 1934.) 
1929. Texts of varied contents. Excavations at Nuzi, vol. 1. Harvard 
Semitic Ser., vol. 5. Harvard Univ. Press. 
Preirrer, R. H. 
1932. The archives of Shilwateshub. Excavations at Nuzi, vol. 2. 
Harvard Semitic Ser., vol. 9. Harvard Univ. Press. 


NUZI AND THE HURRIANS——PFEIFFER 557 


Translations. 
Gapp, C. J. 
1926. Rev. d’Assyriologie, vol. 23, p. 55 ff. 
CuHreRA, H., and SPEISER, H. A. 
1927. Selected Kirkuk documents. Journ. Amer. Oriental Soc., vol. 47, 
pp. 36-60. 
KOSCHAKER, P. 
1928. Neue Keilschriftliche Rechtsurkunden aus der Amarna Zeit. 
Abhandl. Phil.-Hist. Kl. Siichsische Akad. Wiss., vol. 39, no. 5. 
Leipzig. 
Spriser, E. A. 
1930. New Kirkuk documents relating to family laws. Ann. Amer. 
Schools Oriental Research, vol. 10, pp. 1-73. 
1982-33. New Kirkuk documents relating to security transactions. 
Journ. Amer. Oriental Soc., vol. 52, pp. 850-3867, vol. 58, pp. 
2446; cf. vol. 49, pp. 269-275, 1929. 


Gorpon, C. H. 
1985. Fifteen Nuzi tablets relating to women. Muséon, vol. 48, pp. 
113-132. 
1985. Nuzi tablets relating to women. Analecta Orientalia, no. 12, pp. 
163-184. 


Historical and philological monographs. 
CONTENAU, G. 
1926. Les Tablettes de Kerkouk et les Origines de la Civilization 
Assyrienne. Babyloniaca, vol. 9. 
CuirRA, BH. and Sretser, HE. A. 
1926. A new factor in the history of the Ancient Near East. Ann. Amer. 
Schools Oriental Research, vol. 6, pp. 75-921 
JEAN, CH. F. 
1929. Les Tuppi Maruti. Journ. Asiatique, p. 149 ff. 
Kramer, 8S. N. 
1931. The verb in the Kirkuk Tablets. Ann. Amer. Schools Oriental 
Research, vol. 11, pp. 62-119. 
SPEISER, Hi. A. 
1930. Mesopotamian origins. Pp. 120-163. Univ. Pennsylvania Press. 
1983. Ethnic movements in the Near Hast in the Second Millenium B. C. 
Ann. Amer. Schools Oriental Research, vol. 18, pp. 18-54. 
CHIERA, EH. 
1933. Habiru and Hebrews. Amer. Journ. Semitic Languages, vol. 49, 
pp. 115-124. 
Gorpon, C. H. 
1934. The names of the months in the Nuzi calendar. Riy. Studi 
Orientali, vol. 15, pp. 253-257. 
1934. The pronoun in the Nuzi Tablets. Amer. Journ. Semitic Lan- 
guages, vol. 51, pp. 1-21. 
1934. Numerals in the Nuzi Tablets. Rev. d’Assyriologie, vol. 31, p. 
53 ff. 
Frain, S. I. 
1934. The captives in Cuneiform inscriptions. Amer. Journ. Semitic 
Languages, vol. 50, pp. 217-245; vol. 51, pp. 22-29. 
CONTENAU, G. 
1984. La Civilization des Hittites et des Mitanniens. Paris. 


558 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Historical and philological monographs—Continued. 
SAARISALO, A. 
1934. New Kirkuk documents relating to slavery. Studia Orientalia, 
vol. 5, no. 3. 
MENDELSSOHN, I. 
1935. The conditional sale into slavery of free-born daughters in Nuzi 
and the Law of Ex. 21, 7-11. Journ. Amer. Oriental Soc., vol. 
55, pp. 190-195. 
Gorpon, ©. H. 
1935. Paralléles nouziens aux lois et coutumes de l’Ancien Testament. 
Rey. Biblique, vol. 44, pp. 3441. 
1935. A new Akkadian parallel to Deut. 25, 11-12. Journ. Palest. Orien- 
tal Soce., vol. 15. 
1935. Elohim in its reputed meaning of rulers, judges. Journ. Biblical 
Literat., vol. 54, pp. 189-144. 
LACHEMAN, FH. R. 
1935. Selected Cuneiform documents from Nuzi. Unpublished doctoral 
dissertation presented at Harvard Univ. 


Smithsonian Report, 1935.—Pfeiffer PLATE 1 


1. LION, GLAZED TERRA COTTA, FROM TEMPLE A. 


Vvvvvv 
Ce Lest SNL SLO 


4 
> >), 4% (-\ 


VUV VV VIII IV IIT VII II VV cis D NN OO 


“VePoveVeFeTe Ve (eve = PRA 


AAA bAAbBADAAAAAAAA 


a> 
t) 


Z2okKeElCH OF ONE OF HE HOUR ENS OF FRESCOES FROM NuZz!, ABOUT 
1500 B. C. 


eport, 1935.—Pfeiffer 


FROM NuZI. 


THE RUINS OF TENAMPUA, HONDURAS'* 


By DororHy HuaHES POPENOH 


[With 5 plates] 
INTRODUCTION 


The traveler approaching Tegucigalpa, Honduras, over the excel- 
lent motor road that winds through the mountains from the southern 
end of Lake Yojoa will see upon his left, an hour after he leaves 
Comayagua, a flat-topped promontory which juts out menacingly 
from the pine-clad mountain range. Sentinellike, it watches over the 
ancient capital and its classic valley. This is Tenampua. It is the site 
of extensive ruins dating from pre-Columbian days and is reckoned 
among the major archeological treasures of Honduras. Obviously, 
the spot was chosen by the ancients for its military value. As a place 
of permanent residence it offers few attractions, for it has neither 
abundant water nor fertile soil; but as a stronghold to which the 
people might retire in times of danger it is well-nigh impregnable. 

Early accounts of the struggle between the primitive inhabitants of 
Honduras and their Spanish conquerors contain numerous references 
to mountain fortresses such as this. To illustrate their importance in 
the general scheme of defense, I may be permitted to recite the follow- 
ing bit of history, gleaned from a letter which Francisco de Montejo 
addressed to the King of Spain. The date was June 1, 1539. 

Disturbing news reached Gracias, where Montejo was sojourning 
with 11 Spanish soldiers. The Indians were preparing stubbornly to 
resist him. In Yamala, a nearby village, “estavan faziendo muchas 
cases en un pefiol muy fuerte que tienen e proveyéndolos de basti- 
mentos.”? The Spanish chieftain sent a Negro spy, who knew the 
language of the Indians, to enter the stronghold and bring back a 
report. The frightened Negro found there “ quatro casas muy grandes 
hechas, y otras quatro mayores lienas de maiz, y pusoles fuego a las 

17The author of this paper, Mrs. Dorothy Hughes Popenoe, died December 30, 1932. 
The present article is the original English version from which the article in Spanish, “‘ Las 
Ruinas de Tenampua’’, Tipografia Nacional, Tegucigalpa, 1928, was translated. The 
illustrations and the text of the two articles differ slightly. 


2 Translation: “They were building many houses on a great, very strong rock which 
they have, and providing them with provisions.” 


559 


560 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


casas y al maiz.”* Word came of great disaster in the valley of 
Comayagua. The Indians had risen. One Spaniard had been killed 
and several others wounded. Four horses had been lost. Unable 
longer to withstand the siege, the Spaniards had fled at night to a 
neighboring province where the inhabitants were friendly. 

Montejo realized that the time had come for desperate action. 
Supplies were brought together, and soldiers were called in from 
regions where the danger of rebellion was not imminent. Others who 
had been wounded but now had recovered sufficiently to join the 
colors augmented the small band which was placed under the leader- 
ship of Alonzo de Caceres, recently returned from the final campaign 
against Lempira. 

When they arrived at Comayagua they found that the Indians, 
doubtless apprised of their approach, with all available supplies “ se 
fortaleciesen en pefioles.”* Cattle which they could not take with 
them had been killed and eaten, so that the valley was now in a state 
of starvation. 

Montejo advanced into one part of the valley, Caceres into an- 
other, attacking and capturing a mountain fortress “ que era el mas 
fuerte de aquella comarca.”® The last-named leader then proceeded 
to a village, by name Guaxerequi, where six Christians had recently 
been killed. There he found another fortress. At this point he was 
rejoined by Montejo, who describes the place in his letter. He says: 
y visto el pefol, que era la cosa mas fuerte que se ha visto, que si tuvieran 
tiempo de cortar un cuchillo de sierra que estavyan cortando era imposible 
tomarse, porque tenian dentro agua y leha e sementeras y muchos bastimentos, 
tenian doscientos e veinte casas grandes, y ciertos tempos e adoratorios.® 

It took the combined forces of Montejo and Caceres 4 months 
to conquer the valley of Comayagua, after which they carried the 
campaign into Olancho. 

Such stories as the above throw much light on the importance of 
fortified mountain tops at the time of the Conquest. Although it 
has been impossible to place Tenampua among the strongholds de- 
scribed in the early accounts at my disposal, it seems probable that 
it may have been one of those captured during the campaign carried 
out in the Comayagua region by Francisco de Montejo and his lieu- 


tenant, Alonzo de Caceres. It may have been the formidable 
Guaxerequi described in Montejo’s letter. 


8 Translation: ‘‘ Four houses built very large, and four more larger ones full of corn, 
and he set fire to the houses and to the corn.” 

4 Translation: ‘‘ would fortify themselves on big rocks.” 

5 Translation: ‘‘ which was the strongest in that region.” 

6 Translation: “And (has) seen (or visited) a great rock, which was the strongest 
thing that has been seen, which, if they had time to cut a ridge of mountain, which they 
were cutting, would be impossible to capture, for they had in it water and wood and culti- 
vated fields and many provisions, they had 220 large houses, and certain temples and 
places of worship.” 


RUINS OF TENAMPUA, HONDURAS—POPENOE 561 


PREPARATIONS FOR STUDYING THE RUINS 


Upon leaving Tela in July 1927, I proceeded direct to the city of 
Tegucigalpa, where, through the active interest of the Minister of 
Gobernacion y Justicia, Dr. José Maria Casco, permission to ex- 
plore, excavate, and photograph the ruins was granted by his 
Excellency, President Miguel Paz Baraona. 

I then returned to Comayagua, where I have to thank my good 
friends, the Sefioritas Mercedes and Julia Castillo Medal, for their 
gracious hospitality during the time spent in preparing and out- 
fitting for the work to be done. Don Carlos David kindly offered 
the use of a house in Flores. This village is situated a league and a 
half from the ruins, and it had originally been my intention to spend 
my nights there, returning to the ruins daily; but the considerable 
amount of time lost in this fashion, together with the fatigue follow- 
ing upon the climb of several hundred meters from the valley floor 
to the mountain top, caused me early to abandon the plan and to 
establish headquarters in a rude camp in the midst of the ruins. 

Three weeks were spent in mapping, studying, and photographing, 
and in reconstructing several of the stairways and walls. During 
this period I had the constant and loyal assistance of Jorge Benites, 
whose intelligence and efficiency were invaluable. 


PREVIOUS ARCHEOLOGICAL RESEARCH 


The first authentic account of this site which has come to my notice 
is contained in a letter written by the learned and brilliant E. G. 
Squier to the Historical Society of New York. This was sent, in 
the year 1853, from the city of Comayagua, and was later published. 

Five years after this, Squier published a more complete descrip- 
tion of the site in his well-known work entitled “ Notes on Central 
America, Particularly the States of Honduras and Salvador.” It is 
to be regretted that he included no maps, diagrams, or sketches, so 
that the reader fails to receive a graphic picture of the ruins. 

H. H. Bancroft, in his work entitled “ Native Races of the Pacific 
Coast ” (1875-76) attempted, perhaps, to remedy this deficiency, for 
he prepared a diagram of the Central Enclosure based upon Squier’s 
description. I am informed by H. J. Spinden that this diagram 
(which I have not personally seen) is not accurate. 

In 1916-17 the Peabody Museum of Harvard University sent an 
archeological expedition to Central America, in charge of S. K. 
Lothrop. This party visited Tenampua and mapped the entire 
mountain top. Their complete report has not been published, but a 
section of the map, showing the Central Enclosure and the Parallel 
Structure appeared in a general account of the expedition which 
was published in Indian Notes, Museum of the American Indian, 
New York City, volume 4, 1927. 


5062 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


SOUTHEASTERN 


LARGE NUMBER 
OF MOUNDS 


RUINED AREA = 


Oo gynipnuis TSIIVUNS 
Sa 


o 


0 
i 


ENCLOSURE 


CENTRAL 


444 433 
477404 
444 44y ia 
Qo wade, Vy me ne 
qda aa 44 ieee : + 
mgadaaets 


S 


> 
G SOUTHERN 


WATER HOLE No.2 
WATER HOLE N 


200 


METERS 
Ficgurn 1—Sketch map showing principal structures. 


Hy 0) WATER HOLE No.3 


© CAVE No.t 
Q CAVE No.2 


THE FORTIFICATIONS OF TENAMPUA 


From a strategic standpoint there is only one weak spot in the 
natural defenses of Tenampua (map, fig. 1). This is the narrow 
ridge on the northeast side which connects the promontory with the 
neighboring range, and which has already been suggested as the 
“cuchillo ” mentioned by Montejo in his description of Guaxeregul. 

Near this ridge are the remains of strong artificial fortifications. 
A great wall, 225 meters long, in places crumbled to the ground, in 
others 8 meters high and 8 meters thick, blocks this natural access to 


RUINS OF TENAMPUA, HONDURAS—POPENOE 563 


the plateau. Jutting out from the center of this wall and extending 
down the hillside at right angles to it is a second wall 22 meters in 
length, terminating in a buttress 5 meters in thickness. 

The usefulness of the main wall in enabling the defenders to repulse 
an enemy which might attempt to cross the narrow causeway is 
obvious. Not so clear is the purpose of the extension down the hill- 
side. Below the buttress is the actual separation between the two 
mountains, consisting of a deep barranca formed originally by the 
action of water. I climbed to the bottom of this barranca and exam- 
ined both sides carefully. The upper slopes are evidently natural, 
but there is a vertical cut immediately above the stream, 6 meters in 
depth on both sides, which has the appearance of being artificial in 
origin, or at least finished artificially to strengthen the defenses. 

The walls are not particularly well built. They are made of broken 
rock. The fragments are more or less uniform in size, approximately 
45 to 60 centimeters in diameter, and are piled against one another 
without any suggestion of breaking joints. The interstices are 
chinked with mud. 

Evidences of superimposed construction, probably dating from a 
much later period than the original wall, are seen in several places. 
They consist of gaps filled with newly broken stone without mud 
chinking. These portions contrast strongly with the moss-covered 
and weather-worn face of the original wall. It seems probable that 
they are the work of modern armies. Gen. Vicente Tosta, during the 
campaign of 1924, is said to have stationed troops at this spot for 
several weeks. 

On the extreme edge of the plateau is another wall. This is smaller 
but of similar construction. Except for these two artificial defenses, 
the plateau is almost perfectly protected by the natural cliff, which 
drops away on all sides to merge with the valley floor some 300 meters 
below. 

THE WATER SUPPLY 


All that can now be seen of the ruins are numerous mounds and 
terraces overgrown with pine woods and grass. Great roots of fast- 
growing trees are tearing apart the steps and stone facings; grazing 
cattle roam over the site and further the work of destruction. 

It is to be assumed that this spot served in ancient times not only 
as a fortress to be held against attack, but also as a refuge for the 
entire populace of nearby towns and villages. 

In addition to adequate defenses on all sides, Tenampua would 
need, therefore, a water supply sufficient to meet the requirements of 
a siege. 

The principal ruins are clustered upon the southeastern corner of 
the plateau. To the west is a large depression in the rock surface, 

36923—36——_37 


564 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


where rain water collects and a swampy area has formed. In the 
center of this are two pits overgrown with weeds; these may have 
been used as water holes by the ancients, though it is also possible 
that they may have been opened in more recent times. One of these 
holes is triangular in outline, the other circular. Both measure, 
roughly, 30 meters across. They are only half a meter in depth. 

In addition to this meager supply, additional water can at times 
be obtained from three ravines which drain the eastern part of the 
plateau. But these carry only tiny rivulets, which go tumbling over 
the edge of the precipice to lose themselves in the valley below. 
Along their courses toward the edge of the plateau, nances and live- 
oaks arch overhead. Squirrels and humming birds abound. Wild 
frangipani grows down the cliffs, its waxy blossoms gleaming white 
against the pines above. 

Unless the supply was far greater in the time of the Lencas, it is 
difficult to imagine how the small quantity of water available upon 
the plateau could have sufficed for the many people who must have 
stayed at Tenampua during times of siege. 


THE CENTRAL ENCLOSURE 


During our stay we camped on a mound in the Central Enclosure. 
Advantage was taken of an excavation made by previous visitors; 
above this we constructed a rude shelter of ponchos and pine boughs. 

In general plan, the Central Enclosure (which Squier considered 
to be the most important group at Tenampua) agrees with at least 
three other groups (pl. 1, fig. 1). This uniformity would suggest a 
religious basis. 

Each of these major groups possesses a platform or terrace, large 
and oblong in outline. A wall surrounds this, or, if the situation war- 
rants, a flight of steps leads up to it. Surmounting the platform, and 
placed side by side, are two large mounds of different sizes. Close by 
is a third mound, scarcely more than 380 centimeters high, and edged 
with stones. The stairway leading to the summit of the larger mound 
suggests that it was originally occupied by a building of some sort— 
probably a temple. 

The general arrangement of the major groups recalls the writings 
of the historian Oviedo, who describes the religious practices of the 
ancient Costa Ricans. There, wooden temples were built within 
courts or patios; each was dedicated to an idol of wood or clay, 
which was usually kept in a small house within the patio. The 
center of the enclosure was occupied by a mound where sacrifices 
were made. Women danced around the mound before the com- 
mencement of a sacrificial ceremony. 


RUINS OF TENAMPUA, HONDURAS—POPENOE 565 


The wall surrounding the Central Enclosure is so badly broken 
down that it was impossible for us to determine its construction with- 
out excavation. This was commenced at the southwest corner. We 
found a central core of soil, faced on both sides with roughly cut 
stone, and traversed at irregular intervals by low stone partitions. 
The thickness of the wall is approximately 4.5 meters. Its height 
above the ground is about 1 meter on the outside, somewhat less on 
the inner surfaces toward the patio, owing to the fact the latter 
has been raised some 35 centimeters above the general level. 

Excavation of one corner of the patio to the level of the outside 
ground showed it to be built up of ordinary soil. Outside the wall, 
and surrounding it at a distance of about 1 meter, is a low line of 
stones, in many places broken away. This may mark the edge of a 
low outer terrace, now obliterated. 

As the work of cleaning and excavating progressed, I came to the 
conclusion that the builders of Tenampua were neither great archi- 
tects nor accurate workmen. We took measurements of this wall and 
found that the eastern side (approximately 84 meters in length) 
exceeds the western by some 414 meters. The southern side is 1%4 
meters longer than the northern. 

The large mound is about 314 meters in height, and 21 by 1514 
meters at the base. Its internal structure was partly disclosed by the 
excavation in which we built our camp. To complete the work we 
drove a shaft from the summit through the center. The lower and 
middle layers were found to be composed of topsoil scraped, undoubt- 
edly, from the neighboring ground; above this, and on the sides, we 
found a layer of broken rock faced with stone. The remnants of 
three terraces are barely visible on this mound. 

The scanty remains of the stairway were cleaned and restored. The 
stone slabs which formerly served as steps are poorly cut and of vary- 
ing sizes. The fact that they are now sadly out of line is due, no 
doubt, to the pressure of pine roots. A large tree has grown from the 
very summit of this mound. 

While digging the shaft, parts of two pottery dishes came to light. 
The first had been a spherical jug, unpainted, with four circular han- 
dles at the mouth. It may have had originally a neck or spout, for the 
top opening, though small, has a broken edge lacking any vestige of a 
rim—the part that usually survives. 

The second specimen, also broken and lacking several pieces, is of 
exceptional beauty. It is a shallow dish, 23 centimeters in diameter, 
supported by three stout legs. A reconstructed drawing is here pre- 
sented (fig. 2). The original is painted in three colors—cream, a 
warm brick-red, and dark brown. 


566 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


THE PARALLEL STRUCTURE 


This was described by Squier, and more recently S. K. Lothrop has. 
published a plan (Indian Notes, vol. 4, 1927). Both these authorities. 
are of the opinion that we have here the remains of a ball court, 
comparable to those used by the Mayas and Aztecs. 

The structure is composed of two parallel mounds, each 30 meters: 
in length; they stand upon a low terrace, with a level open space 11 
meters wide between them. On their inner sides the mounds are faced 
with stone slabs 1 meter in height and 40 to 50 centimeters wide. 


Ficurp 2.—Clay vessel (reconstructed) from the principal mound in the Centrak 
Enclosure. The decoration is in three colors, cream, brick red, and dark brown. 


THE SOUTHERN GROUP 


Though Squier considered the Central Enclosure the most im- 
portant unit of Tenampua, to me the Southern Group seems to merit 
this distinction (map, fig. 3). Its chief characteristic is a sunken 
court or plaza approximately 115 meters long by 30 wide, which a low 
stone wall divides into 2 parts, 1 at a shghtly lower level than 
the other (about 1 meter). A number of small mounds, irregularly 
arranged, dot the lower court. Seven steps lead from the upper 
court—the floor of which is level and devoid of mounds—to the level 
of the platform (pl. 1, fig. 2). 

The Southern Terrace, a raised platform 30 meters long and nearly 
10 meters high, rises from the southern part of the lower court (pl. 2, 
fig. 1). It stands at the very edge of the plateau and commands a 
magnificent view over the valley of Comayagua lying far below. On 
its summit are four mounds arranged after the same fashion as those 
of the Central Enclosure; the largest, 10 meters square by 3 meters 


RUINS OF TENAMPUA, HONDURAS—POPENOE 567 


soredeseyse, 


All 


Z ON SuIvLS HII 


| 
UN 


VY, 

i, 
f 
| 
i 
1 
| 
| 
\ 
H 
\ 


F 

ts ws 
x 

E © 
2 rod 
9° Ww 
Cr Fe 


— 


anneal 
re ENE 


VALLEY OF COMAYAGUA 


Fiaurn 8.—Sketch map of the Southern Group, showing principal mounds and stairways. 


METERS 


TT 


UPPER COURT 


pesmessenennmens 
a en a E 


ee nee 
rey 


wm, 


_ 


- 
—r 


Ene 


high (pl. 2, fig. 2), corresponds to the “ temple ” mound of the latter 
and has a smaller mound immediately to the east. The remaining 
two mounds are low (about 4 meters square) and edged with stones. 

Squier suggested that it might have been the custom in ancient 
days to light beacon fires on the highest mound of this group for 
the purpose of signaling to people in the valley. There are no ashes 
or other evidence that such was the case. The mound consists of 
broken rocks roughly heaped together, covered with a thin layer 
of humus. 


568 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


The surface of the Southern Terrace has been paved, in part, with 
flat stones. Along its northern edge are to be seen the remains of 
a low wall and 4 stairways, 3 of which extend a short way down 
the slope, while the fourth (at the northeast corner) has nine 
steps which terminate in a flagged walk bordered by mounds, leading 
directly to the lower court (pl. 3, fig. 1). This stairway and two 
others were restored by us. 

The north side of the same court is provided with two series of 
steps leading up to the general level of the plateau. The eastern 
series is extended to form a narrow paved walk exactly in line with 
the distant parallel mounds of the so-called “ Ball Court.” 

On the northern side of the upper court is a large oblong mound. 
The stairway which ascends this terminates abruptly at the foot of a 
vertical wall 2 feet high. Above this, the surface is cobbled with 
rows or rounded stones set on end. 

Judging by the height of the wall and the presence of these stones, 
it seems unlikely that this platform was originally surmounted by a 
temple or other building. Perhaps it was an altar. Praying for 
victory over the strange new enemy from across the sea, perhaps the 
fighting Lencas climbed these steps 400 years ago, carrying sacrifices 
to place upon the rugged platform. 


THE SOUTHEASTERN GROUP 


The Southeastern Group was described briefly by Squier, but his 
account does not adequately cover the material as it exists today. 
Though he mentions a surrounding wall similar to that of the Cen- 
tral Enclosure, I was unable to find vestiges of such a structure 
(maps, figs. 1 and 3). 

Near the edge of the cliff are two mounds similar to those of the 
Southern Terrace. The larger of these is slightly less than 2 meters 
high, and stands upon a terrace edged with stone and elevated to a 
height of 3 meters. Two curious structures are to be seen close by 
these mounds; they are low, circular hillocks scarcely more than 12 
centimeters high, covered completely with large flat stones. A third 
object of this character lies a few meters to the northeast, below the 
terrace and almost at the edge of the cliff. A fourth occurs due west 
of this in a straight line with the western wall of the terrace. As 
will be seen in the map (fig. 3), there are other mounds, some of them 
large, between this group and the Southern Terrace. 

The most interesting single object encountered during the course 
of our explorations was an elaborately carved metate found in one of 
the mounds of the Southeastern Group. This specimen, represented 
in figure 4, is made of basalt. Though one leg was broken at the time 


RUINS OF TENAMPUA, HONDURAS—POPENOE 569 


it was excavated, sufficient fragments were recovered to show that the 
design is different on the two sides. 


OTHER ARTIFACTS 


Scattered throughout the ruins are many fragments of plain stone 
metates of the type used today in Central America (pl. 3, fig. 2). No 
unbroken ones were seen; but if such had been left by the ancients, 
they would almost certainly have been carried away by modern in- 
habitants of the region to use in their homes. Some of these metates 
had thick, short feet; others none. All were made of a coarse red 
sandstone which does not occur naturally at Tenampua. 


Ficurr 4.—Curiously carved stone metate encountered in one of the mounds of the 
Southeastern Group. 


We also found fragments of another form of milling stone made 
of a finer grade of sandstone. This was flat, oval in shape, about 25 
centimeters in greatest diameter, and 10 centimeters thick. From the 
marks left upon it, we could ascertain that it had been used on edge, 
vertically, the two sides having been held in the hands. 

Red sandstone balls, more or less uniform in size and weighing 
from 114 to 2 kilograms, were found in various places. These sug- 
gest stones which have been rounded and smoothed by the action of 
running water, most probably in a river bed. They do not seem to 
occur naturally in this region but may have been carried here for 
throwing or slinging at the enemy. Their shape and size are such as 
to make them fit conveniently into a man’s hand. 


570 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


Seeking evidence as to their use, I examined the whole of the 
mountainside below the southern group, where some of these stones, 
and a quantity of obsidian chips had been observed. ‘The first third 
of the descent toward the valley floor was strewn with fragments of 
pottery, chips of obsidian, and roughly chipped flint and obsidian 
spearheads. Below, I ceased to find these but came upon numerous 
sandstone balls. The remainder of the descent yielded nothing, as 
it was covered with a thick layer of broken rock which had fallen in 
recent times, apparently, from the cliff above. 


THE CAVES 


A description of Tenampua would not be complete without refer- 
ence to the caves. All sorts of legends and superstitions are con- 
nected with them. He who enters must expect to encounter ghosts, 
coyotes, demons, spells; nothing is too dreadful to be found there. 

Squier knew of two, situated near the northwest corner of the 
plateau. The locations are clearly visible from a distance, since 
each is surrounded by a tangle of junglelike growth, contrasting with 
the uniform and temperate-zone appearance of the grass and pines 
which characterize this region. Cutting our way through the thorn 
acacias and lianas which surround the entrance to the more north- 
erly cave, Jorge and I came upon a large hole in the ground. It was 
more or less circular in outline, 6 meters across and 5 meters deep. 
It had the appearance of being artificial. The bottom was filled with 
semidecayed leaves and broken rock, which had almost covered an 
opening at the north side. It is believed, locally, that this opening 
marks the entrance to a tunnel which leads through the mountain; 
thence under the valley floor; to come out finally in a distant range of 
mountains, at a ruined site known as Chapuluca or Chapulistagua. 

After clearing away the fallen leaves and rock we found the pas- 
sage completely blocked. Slabs of stone had fallen from the roof. 
An opening 214 meters wide and 114, deep was cleared (this measure- 
ment is not the true height, as we did not remove all the debris from 
the floor) (pl. 5, fig. 2). Numbers of frightened bats flew out into 
the dazzling daylight, and circled around our heads or hung on the 
branches of the trees awaiting the first opportunity to return to their 
ancient home. ‘Three meters of passageway were cleared of rock. 
Then the direction changed. So far, the tunnel had run in a north- 
erly direction and slightly downward. Now, it narrowed suddenly 
to a width of no more than a meter and turned sharply to run ver- 
tically into the earth. The work became all but impossible. “ Un- 
comfortable” Jorge expressed it, cramped and crouching on his 
knees, digging out the rocks one by one with a hand trowel. The 


RUINS OF TENAMPUA, HONDURAS—POPENOE ay @ | 


persevering boy excavated another meter; then we gave up. Whether 
the tunnel was built by the Indians as a means of escape in time of 
defeat, or whether it is an old mining shaft I am unable to say. We 
searched the mountainside toward which the passage leads, but found 
no opening. 

We did not attempt any work in the similar cave lying some 
meters to the south. Besides this one, there are at least two other 
caves at Tenampua. One opens out of the wall on the east side of the 
plateau; the other is situated in the cliff just below the Southern 
Terrace. Both were entered, and they impressed us as natural for- 


mations. 
SUMMARY AND CONCLUSIONS 


Tenampua is a rocky promontory rising from the southern edge of 
the valley of Comayagua. It is a natural stronghold, protected on all 
sides by steep cliffs, except where a narrow hog-back (“ cuchillo ”) 
joins it to the adjacent mountain range. Early accounts prove that 
numerous fortresses of this type were utilized by the aboriginal 
inhabitants in their struggle against the Spaniards. 

Judging from its locality and physical characteristics, it seems 
possible that Tenampua may be the Guaxeregui described by Fran- 
cisco de Montejo, one of the Conquistadores. There is little evidence 
to suggest the date at which the site was first occupied. The archeo- 
logical remains now visible, however, probably date from a period 
shortly before and extending down to the Conquest. 

From early Spanish accounts we learn that the aboriginal inhabit- 
ants of the Comayagua Valley called themselves Lencas. Their lan- 
guage and customs were different from those of neighboring tribes. 

The name Lenca was first applied scientifically to this ethnic group 
by E. G. Squier about the middle of the last century. It is still con- 
sidered uncertain whether these people were derived from one of the 
great linguistic stocks (Maya and Nahuatl) which occupied the terri- 
tory to the northward or whether they constituted the vanguard of a 
migration from the south. The investigations at Tenampua reported 
in this paper tend to strengthen the latter belief. It is to be assumed, 
however, that the Lencas felt the influence of their more highly 
civilized neighbors on the north. 

Comparison of the brief vocabularies at my disposal fails to reveal 
any relationship between Lencan, on the one hand, and either Maya 
or Nahuatl, on the other. As indicated by the following table, the 
similarity between Lencan and the Chibchan dialects of Costa Rica, 
and in a few instances between Lencan and the true Chibcha of 
Colombia, is sufficiently close to suggest that all may have been 
derived from the same linguistic stock. 


572 ANNUAL REPORT SMITHSONIAN INSTITUTION, 1935 


TABLE 1.—Comparison between words in Lencan and other languages 


[Compiled from Squier, Carlos Gagini, Vicente Restrepo, and other authorities] 


Honduras Nicaragua Costa Rica Colombia 
A Chibchan 1, Guatuso; 2. 
Words Chiapan- ae Dil? 
Lencan Subtiabane| Ulvan ecan Guetare a: Talaman- | Chibeha 
Dirian ers) uaymie; 5, 
Doraskean 
ant sisi zifi (1) si, tsa (3) ize 
fire yuga, yuca ahku cuh nahu yoco (2) iuk (3) nugo (4) | gata 
hair asa, asha tu’su nembe iza (1) ibsa 
heart mussu buneo nambooma| mazutu (1) kuy-si (3) puy-kuy 
house tahu, taco guiah a nahngu an tu (2) u, uh (8, 4, | giie 
maize ama eshe, ehpe nahma ep (3) aba 
man taho, amashe rahpa all nuho pejelilli (2) 
mother mini, imini autu goomo me (3) ti-me (4) 
snake salala, sala apu maabka | nule zalan (1) 
star siri ucu nuete siyon 
tooth nagha, nee-aa, | sému nehe oka (1) saka (2) kasa, | sica 
née aka (3) 
one (numeral)} ita, eta imba teka etzi, et (3) ta, ata 
water guass, uash eeia wass nimbu ti dicre (2) ti (3, 4) sie 


a Nagrandan of Squier. 


The artifacts brought to light during the explorations of which 
this paper is a report are not characteristic of Maya culture. The 
painted dish (fig. 2) is similar in style to pottery found throughout 
Central America. It has none of the features that distinguish Maya 
pottery from that of other races. 

The carved metate (fig. 4) strongly suggests, both in design and 
workmanship, countries lying to the south of Honduras. In Leon, 
Nicaragua, according to Squier, such metates are not uncommon. 
One figured in his work entitled “ Nicaragua: People, Scenery, 
Monuments, etc.”, is of this type. Numerous specimens excavated in 
the peninsula of Nicoya, Costa Rica, were figured by C. V. Hart- 
man. From that country southward, these metates occur in more 
or less modified form as far as Ecuador. 

The inscriptions observed at Tenampua are rude and primitive in 
character (examples are shown in pl. 4, fig. 2, and pl. 5, fig. 1). 
Their significance is not clear to me. (Later, Mrs. Popenoe came 
to the conclusion that certain of these might have been made by the 
soldiers of General Tosta and other recent visitors sharpening 
machetes.) They are similar to markings observed on large stones 
lying on a hillside near Siguatepeque. 

There remain many ruined sites in Honduras which have not yet 
received adequate attention at the hands of archeologists and eth- 
nologists. Thorough investigation of these sites will not only throw 
much light upon Honduranean archeology in general, but will fur- 
nish specific facts to help clear away the doubts in which certain 
problems of Tenampua are still enveloped. It is only through com- 
prehensive study of the entire field, and intelligent comparison and 
correlation of the material offered by individual sites, that the whole 
story of pre-Columbian Honduras will finally be reconstructed. 


PEATE 


Smithsonian Report, 1935.—Popenoe 


VIEW OF CENTRAL ENCLOSURE LOOKING EAST. 


1; 


2. THE SUNKEN COURT, SOUTHERN GROUP 


Smithsonian Report, 1935.—Popenoe PLATE 2 


1. THE SOUTHERN TERRACE, SEEN FROM THE SUNKEN COURT. 


2. THE PRINCIPAL MOUND, SOUTHERN TERRACE. 


Smithsonian Report, 1935.—Popenoe PLATE 3 


1. STAIRWAY NO. 1, RESTORED. SOUTHERN TERRACE, EASTERN SIDE. 


2. BROKEN METATES (MILLING STONES) FOUND AT TENAMPUA. 


Smithsonian Report, 1935.—Popenoe PLATE 4 


1. FRAGMENT OF WORKED STONES, PROBABLY PART OF A METATE. 


2. INSCRIBED STONE (TABLET F) FOUND IN THE NORTHERN PART OF THE RUINS. 


Smithsonian Report, 1935.—Popenoe PEATE 5 


1. INSCRIBED STONE (TABLET A) IN UPPER STEP OF STAIRWAY. 


2. PARTLY EXCAVATED ENTRANCE TO ONE OF THE CAVES IN TENAMPUA. 


INDEX 


A 

Page 
Abbot, Dr. Charles G., secretary of the Institution___...-------------- Ill, 
IX, XIV, 10, 11, 19, 21, 26, 30, 47, 51, 59, 60, 61, 63, 73, 79 
(Weather governed by changes in the sun’s radiation) ------------- G3 
Absolute zero of temperature, The approach to the (Simon) ------------ 249 
MEGS MOT ENV ALOE S28 ts. Sao we ee eee a Eas a 9 
(hneisun siplace among the stars) 2) -2 02-822 oo ee es ee 139 

Aerial crossing of the North Atlantic, Are landing places necessary for the 
CES RS a RA ES a RTO RS SO eae a nS ee 453 
Aldrich, Loyal B., assistant director, Astrophysical Observatory ------ xiv, 4, 57 
Algae, Those ubiquitous plants called (Meier) _.--....--=--.-_--==----- 469 
Ee CH iS OL PLMbin gs ase oe ee OL Se ee ee eee 79 
Asmerican. Historical Association, report. ..2==22--5-2.--2=--..-=-—- 74, 78, 86 
Ames Joseph o:, 4ward of Langley, Medal to_...-__.2-=-=------2-_= = 2, 6,7 
Anderson, Carl D. (New facts about the nucleus of the atom) ---------- 235 
Antiquity of man in America in the light of archeology, The (Nelson)---- 471 
Archeology, southwestern, A survey of (Roberts)---------------------- 507 
Lessehilini ge. <USEEPEY ESS a A ES a gE, FEES Sone ee EE er 9 
[Sete Ue ee ee ee ee eee sr 9 
AST ET) Cl ere et tee Wee itd pice Fee Ay nO Ra A eRe eh AE ta 81, 82 
LEGUNIR, OWT Ee = ee ee CR ee ee Se ns ee ees 9 
Mei fepimsics AODseLVAbOLy = 522.225 - oe aoe Sse. Se eae eee ae 4, 86 
DPA TANT IS Saws epas m atd s el a  IO Ce EY Se neg OE eres 74 
THT Wee i ce nl ac Dati icine hepa he tea erie ar 69 
RAN Seas oe eek ee ee ee es eee oe eee 57 
50 a eee Le tert pee int Oe, yak cH Pe Ds Se ae XIV 
MemoespNere 4.1 he.apper (Hopson) sas. =2- aes eae eee ee ne oo 183 
Atom, the nucleus of the, New facts about (Anderson) ----_------------ 235 

Atwood, Wallace W.., Jr. (The glacial history of an extinct volcano, Crater 
PRs ebro naler ark) sane ah os Sas ee ee ee 303 
USSR GIST TET a a a ei aa ie ee pe De Re Rare ea ee eae ee 82 

B 

Nc VITe iat Ory {io 22 oon. soe oe oe e et eceecwoesee 81, 82 
Bacon traveling scholarship, Walter Rathbone____--_----------.------ 2,8 
Pend iniCys Hees thn eee een oe et oa eee 81, 82 
PACHA LEN OMe TCOOMC 1) ao ne oe ht ety) oe Se ee Bs a seieeeaiaa 81, 82 
[reser alee ee en See ee eee ase ome ae a eee 5 Gam a Ly/ 
TS USGS TG] Bea ea ie ep a yr a ny a de XIE 
(@arleretions—treaks in stone): 92-2 == a =a 2 eee ess sos 22S 321 
SER RCRIMIRY\ Pe Nees ee a fee ee ele ee i be eee oe tees oe 85 
elare NCU OTe ioe ee ee Be ane ee ee oe eee eee XIII 
Panipat ea EOberuaWs (repent) 28 ae oS See ne XI, 6 
ibiolopyrandeainiam trendar (earl) ss. s5 2 8 oe oe eee 327 
Bishop, Carl Whiting, associate curator, Freer Gallery of Art_-_----- hy oe 

Blériot, Louis (Wings over the sea: Are landing places necessary for the 
commercial aerial crossing of the North Atlantic?) ._--__.---_-------- 453 


574 INDEX 


Page 
B0ss) Norma pees as a ee Fe XIII 
Boulder ‘Canyon’ Project;; The (Nelson) 2225-95542 2s eee 429 
Bryant, Herbert S., chief of correspondence and documents, National 
Miurseumnc 2053) 5 so eae te re aha Uy oe nd eek oD XIII 
Bundy, John, superintendent, Freer Gallery of Art_________-__-_-___-- XIV 
Burt; Prot Gy a. es cee es ae ee et a ag aks 17 
Butterflies, The swallowtails(Clark) 2.2222 32 ee es es oe 383 
Cc 
Wanfield-eollection fund toe et 520 eee ee ee eee 81, 82 
Cannon, Representative Clarence (regent).__._.__-_-==___--_-_- ~~ 2-2 Xi, 6 
Saroy, Gharles> p= = ccetne PA Nair OMe Beet te ene eee XIII 
Wasey: fund's “Biro ye Sess sore Aer i ne ee ee 81, 82 
@asey  WViTs. WWAUITS Welslle = see es Ske nett eet 85 
Cassedy, Edwin G., illustrator, Bureau of American Ethnology______-_-_- XIV, 37 
Chamberlarm fund Prancis eae 2. 2 ete ee 81, 82 
Chapin, Drs Maward Aa tee ee aS ee ee ae ee eee ee x11, 18 
Clark, Austin Hes toc "Tote ea Sere she sere re ae ee XID seg 
(The swallowtail’buatterthes) sos ee 383 
Clark, Leila F., assistant librarian, National Museum___________-___--_- XIV 
Clarice Woelane no Ne cee oe eee ee ek ne eee XIV 
Cochran, Drs Doris! Mey Were ee eee eee a gee UE lig 
Collections; "Nationals Museume >). 2 one ne ee 13-16 
Coline EBS re ra ee et ees re xu, 16 
Coming of man from Asia in the light of recent discoveries, The (Hrdlitka)_ 463 
Concretions—freaks in stone (Bassler)2- =~ =~ 2) ee ee ee 321 
Coopers Gustav: Aer Uae A A ee ee te ee Saatie, Wil, 1S) 
Corbin, William I; librarian of the Institution. .----2_ 2 -—- a sseeee = KDOOnhe 
Cosmic radiation, The nature of the (Johnson) ---___.._._...__-____-_-_- 197 
Coville’ Dir Prederick-V 22 ake a eee as Ol XII 
Crater Lake National Park, The glacial history of an extinct volcano 
CAE WOO) oo ers Sie ee ieee ees oe copa secs ee es 303 
Crump, Fvepresentative li: lo. ea eer ee 6 
Cummings, Homer S., Attorney General (member of the Institution) ____ XI 
D 
Daughters of the American Revolution, National Society, report________ 78 
Delano; Frederic-A.. (segent) 2220202222) 22252 ho x1, 6, 87 
Densmore; irances..0 out. eo ae oe aa en a ee 36 
Dern, George H., Secretary of War (member of the Institution) _________ XI 
Dobson, G. M. B., D. 8e., F. R. S. (The upper atmosphere) ____________- 183 
Dorsey, Harry W., administrative assistant to the Secretary _..________ XI 
Dorsey, Nicholas W., treasurer and disbursing agent of the Institution. x1, xIv 
Doyle, Aids, Vio S20 es ee ee a Se cai 2 ee ee XIII 
E 
Klectricity, What is? (Cileyl).22 222 22-2 a ee ee 215 
Hthnolosys ure gu Ob eATM eT Came eee eee eee ee eee 3, 86 
WWDTAT YY. 222 =o Se es ale ee toe a ch, a) el 37, 69 
publications. 2.5 22 41h se eee ee et eee eee oa ee 36, 78 
1S) 910. 5 Geen omen Men dana eel at RANA iy TR me Bee ES eae 31 


INDEX Sy En 


Page 

Pixchanee service; Internationale 2) 452 8. bd ele ot) steele ll ee 4, 86 

5g 24 O05 aL ey se Oe a a 39 

Sidi pee epee a ee amen aise See oes XIV 

HmpPlorawoOUusene ted WOntase naka Ke ete at 10, 16-18 

¥ 

Farley, James A., Postmaster General (member of the Institution) -~__-__- XI 

ease) Yes WV UMN CAMA Be aye hs ye ae ee ected tS Smt, WL ks 

we: Sredericls: M5, k= Sere Aue ee ek wb So ok etn Bee XIV 

eper, Ouarles: Wics a. te Se ee eS er Solfo gee 82 

beqtests sae Lao a hr eee es SSE te RS ot Sook eS 82 

BEeCRG aeRO Gl AiG anor e ae Be te a et et oe at 3 

G(T TONG epee eo eee cle ee ee Ch 2 WL Sek oe ee 82 

Joe ig SOUS Se DER Se ae eee ee ee ee eye ae are rine eee eee eas 70 

poms ba he a i ek Sean a a) tee oS i ee 2, 78 

FSS TO OG Ue ete ae on re ra Ea a Qe ace ce i Rt Se 27 

SiR pm ey 1A cu aS a a a gies secs Bt XIV 

MnICuM nr Ter OeLu.. 522 Soe Vee ee eae Sat: 

G 

Speer Oc re ea byen eae oe te eS Se ee) eee Lee ihe XIII 
Garner, John N., Vice President of the United States (member of the In- 

SRT ONO 5 ee eR a ee eR eg ce ee ee XI, 6 
Barineamens@havies Wie ose 0) etwas! = eae we san halk ml eee DSi Hie bie ake 
Genetics, The relation of, to physiology and medicine (Morgan) --------- 345 
Girard: Representative Charles L. (regent) =22-22222--------25--.-222- Xe 
SRL eI MITT Ce ATIC GV) StS ames ook Oe Oe a bi ae Sa ee te oe eset tS xin, 27 
Glacial history of an extinct voleano, The, Crater Lake National Park 

CAtiwood) Reset ae eee ee ee ee ae ee eek es 303 
Goldsborough, Representative T. Alan (regent) ____-_-----------~----- x1, 6: 
Goldsmith, James S., superintendent of buildings and labor______------- XI 
Graf, John E., associate director, National Museum____-___----_-------- XI 
“SURETEUE SEE LD Need Da a aN aaah ee Sra RR Neen? uh ipa Iv74 
Guest, Grace Dunham, assistant curator, Freer Gallery of Art__.------- XIV 

H 
HEM a Woe penn Cate stares eee I a oe On Pe ene eee 4 82 
PIP e Mae RE ening 22 say hs oo Roa wae eS oe 82 
Halibut, Pacific, Conservation of the, an international experiment (Thomp- 

FSO) jE a ape od aa EAI SA oS Sv a OE, a a ae ee ore ht GS 361 
PR CONPMiNG <2 5-5 os toa MOEA Sty OP RA S710 Se 82 
Prin ston iJon Wyso-e eceecect= oe ide sees eesesen ce aeenae Xavi, Ss: 
Biengrrsen Wad WALGSE--.222=c2l2 ice nce eae ee eee ee x1, 18 
Elemente: Ss 2. SA tO ee ct Jeet. Vee eet TU 82 
PE Tisai eu iis peg a eee EE A SE Oe XIII 
lem btagio bine Nn Bo ete te eS ee ew a IE eS xIv, 35 
Heyiieeaulen. GWihat is electricity?) 2.2.2... 22245 ea eases 215 
Hill, James H., property clerk of the Institution. _-_..._.._------------- XI 
tod clcinsshumGrcenern lees. see ee ee a ee a a re 82 

IS (OC CLA aera eas eae Ee pe ce eS eh cs en, 81, 82 


Hoover, William H______- en 8 yeni pea sph a Pi i et ee, aed a XIV, 58 


576 INDEX 


Page 

Hopkins, Sir Frederick Gowland, P. R. 8. (Discovery and significance of 
VAtAIIDS) an pa et ree 265 
PRou gh, Dir. Walters 2s pe cre eh ee oe XII 
Howard) Dr. Leland O02 5.22- Soc So ee ee Eee eine XII 
FHirdlitkas Drs Aveg es Sek oe eset tle ee Bee er Re en ped pltile i 7/ 


(The coming of man from Asia in the light of recent discoveries)_.___ 463 
Hughes, Charles Evans, Chief Justice of the United States (chancellor and 


MEM eT Oh WHE sUMS LL GU GLO TD) ee ea ce XO, 
Hughes fund) ~Bruces:222s2 5222253 S2 ea hs adhe eee eee 81, 82 
Hull, Cordell, Secretary of State (member of the Institution) ___________ XI 
fuman trends, Biology and*(Pearl) ==--=- = ee eee 327 
Hurd-Karrer, Annie M. (Selenium absorption by plants and their resulting 

GOR CH bay oC anita as) ee ee See ee lee hee ee her oe ae 289 
Hurrians, Nuzi and the: The excavations at Nuzi (Iraq) and their con- 

tributions to our knowledge of the history of the Hurrians (Pfeiffer)___._ 535 

I 
Ickes, Harold L., Secretary of the Interior (member of the Institution) __- XI 
International xchange Services = ase ee ee ee ne 4, 86 
PEP OMG teks as ha ap al a ee 39 
ES GEM ET  eoothe  h ak k a  a  gi ey efa XIV 
Imrigation, water,,Che:salinity: of (Scofield) s-2 = 5220-sheeee eeee 275 
J 
Johnson; Hidridge Re-= sis. lt Lae ee ee ee 85 
Johnson, Thomas H. (The nature of the cosmic radiation) _.._---_------ 197 
Johnston, Dr: HarliSi 5.2: = 2 oe. ee eee Ae ee ee eee XIV 
audd,. Nei M22 be oe ee ee ee ae he ee ee XII 
K 
BEG) aa esa el nd hy 0X0) 0 eae EE RO is yh ia Ue pa aes Ae oe 63 
Kellogg, Dr. Remington ol s. 2 Se ee XII 
Follip? ‘(Bllsworth Pos se re a ee er XII 
Knowles, William A., property clerk, National Museum__-------------- XIV 
Kriever “terbert) W s2 2s oe ne Se es ee eee a ee eee ad HELE UG 
L 
Langley acronautical library: 222 (222228222 sos 22h oe eee 70 
Langley, Samuel Pierpont, Centenary of the birth of__---------------- 74 
Laughlin, Irwin’ B. (regent) 2.2 a ee ee eee ee eee 6 
Leary, Ella, librarian, Bureau of American Ethnology----------------- XIV 
Leonard, Hmery’ C22 (2-2 eee ee ee ee xII 
}aibraries! of the Institution and branches! sess == ae ee 11 
TOP OR sak aes Se re ee ee ee ee ee 64 
summary of accessions: 5.020222 Se oe eee 71 
Lodge, John Ellerton, curator, Freer Gallery of Art__------------- xiv, 21, 30 
Logan, Senator M.-M: (regeiit)2-.0.0- 2 a ea eee x1, 6 
orng, Augustus P; (regent) 2223232225 2s eee xI, 6 
M 


Man, The antiquity of, in America in the light of archeology (Nelson)_-. 471 
Man, The coming of, from Asia in the light of recent discoveries (Hrdli¢ka). 463 


INDEX bye 


Page 
obits Opa ets Wie yee a ee ee Se ee ee ea 19 
Mann, Dr. William M., director, National Zoological Park - ------- XII, XIv, 56 
Tei SAVE ae ps, UC, DE eS ee eee eee ee XIII 
Maxon; Orayilam Teo epee. ane eee eee eee eae x 
TIL OR e rs 10 Tea Ol DBE Se ee ee eee es XIV 
Mewar, senator Charles:. (regent) 2 -- =. 2-2 <== -=-=---5 x1, 5; 6 
ivi aie ORL QW behets el opel Oe eee XIV 
(ihose ubiquitous plants called algac) 222 - oJ ole. = 232 lee 409 
oy DIATE rg LD rapa olor Gig Me ai eae el ae So a xt 6, O7, 
Os eee ac a ee ee ee oe er 18 
Re nelson Pit i rie a ee ee ee ee a ee XIV, 2135 
Mer Gerrit See hoe ee ea ne ee ee ee ee ee xls, 
Bs (PATE TDs OPE 3 ce a ye ya eee aoa XII, 9 
loom, ihe surtace features of tne (Wright) — 2.2222" 2222.2 aes 169 
Ricgre tee WelLonnTeeent) sna he oe a ook eee tee to eee XI 
Morgan, Thomas Hunt (The relation of genetics to physiology and 

PEEING ee tee ee See ai OE Me SNe ee a a ee ee 345 
Morgenthau, Henry, Jr., Secretary of the Treasury (member of the In- 

SS ETE GL OTR) teeta ee ee ee sn et OTL meen eee ee eee ree ail 
MIGrMsOn Dr TOSCO be ee oa ee ee ene coe es 19 
NiozleyatO Tr wAlai a sae se oe nn on Meee ae Ese oe enue enor aes ee 
Neyeniuna. Catherine Walden a2. -2o 5 oo oe eo ean ses 3, 22, 81, 82 
(Migeta en GCOLPG 9 ne a a ee er a oe oe eee eee RE hg, 

N 
National Advisory Committee for Aeronautics.........--------------- 2 
NeiiencimGallervOfArtaso see fosns Hoe Stes se LAS Sess elsse tees sce 3, 86 
UCCESSIONS eee ee ee Se eae te ye Sate Re Ae eee eso See 21 
COMMISS ONO eae ae ee ee aa oes Se ee Sees Soa es 3, 21 
MireCLOnMACUIIOS <n ee Lawes ot Seete Oe er Sree oer ded ts a el x1, 26 
JIN Oy EE gS a gta aad 5 Beg ee en = Gy ea 25, 70 
PUN CATION See ee ee er aS eS Be eel 26 
DOL Ge ee ee ae ee er ne ee hh 20 
CSL asses 8d a ee hegre a pe ee mel Re XIV 
Pa scRITRISe Ties, oe Se Cer ote eat abe R ee Ch eae Paes eels 2, 86 
CONC CUTOTI Steere mee eee ie pe A eal a et RE 13-16 
ORM DLONS RSPeClal pyaar es te he eens NE ee oe AAS 18 
XP IOPALLOMS ATC StI eC] Coe yy. OT eee eee eee ees eee eee 16 
Ey Xe a Tay eee ee a ee eye Cray SS es res el a Oca A Ee 67 
PD Ui bs Leas Ory eee ae ee a tee eee Se te we a Shale Meaney ne iS MA7/Zh 
Te) BCE as ee ese ae gl yc ear ih ar ne la pire op poy Ube AL ae 13 
Sec een pe ot er ee RE tet ee as SOS a ase! XII 
CET OY ga 2 a leet i ae ce eee aa gp pe ah Sea eg ny pd ela Ch 18 
PR AUO le HOOIOCTCRL DAT | 22 SSS Seem mee ree te eter Seer omy ht eae aes 4, 86 
LEE) SY A pa aa lt lB pa, Sho ea SSI RS ap ee eS en 55, 71 
ME PO LU e ce eee a ee Ee ee Ee a ee em OT ates ence pe EE ae 48 
SUR terete ee ee SRS ee en eae he es eel ES dae A eee XIV 
Nelson, N. C. (The antiquity of man in America in the light of arche- 

ONO yp re a er rae a a ee ene Mee oe te eras A ATTY Spe oe 471 

Nelson, Wesley R. (The Boulder Canyon Project)_.__..__._..____--__---- 429 


Nuzi and the Hurrians: The excavations at Nuzi (Iraq) and their contribu- 
tion to our knowledge of the histery of the Hurrians (Pfeiffer) --...._- 535 


578 INDEX 


O 
Page 
Oehser, Paul H., editor,;“National, Museumiic/. seul. Mao XII 
Olmsted; Drs Arthur.J 2525-21 2535.S05520 sso ge ee XII, XIV 
Olmsted, Helen A., personnel officer of the Institution. ..._.___________ XI 
P 
Pearl, Raymond (Biology and human jrends)o2 22-232) 55) see 327 
Pellifund,) Cornelia livingston 2-5 o-oo. aoe ee ee ee 82 
Perkins, Frances, Secretary of Labor (member of the Institution) _______ xI 
Pfeiffer, Robert H. (Nuzi and the Hurrians: The excavations at Nuzi 
(Iraq) and their contribution to our knowledge of the history of the 
ERG TS Ves, ate AR ee Sie eh sed a eee 535 
Hlanets, ihe atmospheres of the (Russells. 22 ee ee 153 
Plants, Selenium absorption by, and their resulting toxicity to animals 
Chlurnd= Kiarren): 200 be a oes iy ak eee 289 
oore fund, iucy “T.vand (Georges W 528-622 esses eee) 82 
Popenoe, Dorothy Hughes (The ruins of Tenampua, Honduras) ______-_-_ 559 
President of the United States (member of the Institution)___._________ XI 
Publications of the Institution and branches-.---.---.-22-2-- 2 sees ee 11 
TCPOTts Soe eeke we oe wee eee eet eae ee el 74 
Public Works Administration, allotment for National Zoological Park 
Boat ina orgs 2 2s es roe eA oS a a 2 
R 
Radiation and Organisms, Division, of 20.022 s52 3 Sigs 5 
|IV] G's 2 eh pee a tl ee IE greg Od Urey see Deel See Re 69 
Fi 5) 00) ei SNP ns ey TRS ay NS ty age PY a PS SS A es a, 62 
SUaihs 2 Sr eS ee ah i et ee eg XIV 
Radiation; cosmics Lhe nagurevot ther Jounson) 22552" 2 197 
Radiation, sun’s, Weather governed by changes in the (Abbot)________-_ 93 
Reed sSenstorsW avid Ase ei eek e Biatert Seen Oe ie ee 5 
erventsiot the Institutions Board oie eae = a ee ee xI, 5 
executive’ committee sss Se as Fee ie oaks 2 eee x1, 87 
ETO OG Spe eM aes aan ceeded a ee ok a as 81 
Rehder, Dri Harald A 282.2 ee Se ee ee xIl 
Reidifund Addison: (fs. 20 2 ole cs eee ees te De es ee 82 
Reseairche Corpora tion<on, New, Vir Kees ee 85 
Moser Charleshin to ee ok ee a ee aes ee XIII 
HERI eis EUnet cl eee ae i a Ura VR ERG eee Ce ae 82 
Rhoades, Katharine Nash, associate, Freer Gallery of Art____._.________- XIV 
RILEY JOSE ply Tels ai a et XII 
Teal oieisy 1Dieeldierolelely Iola dip kak ee eke xiv, 2, 11, 34, 35 
(Avsurvey of(southwestermarcheolosy))5— == 2 eee) ee ee 507 
Robinsons Senator Josephyls(regent) oes oe ee ae oe ee xI, 6 
Roebling collection fund. Sto. 222222 Soe eee ee ee 82 
TR ovale) Uholoatnel Kojobowwa yen a Beene ee eS ee eae 1, 4, 57, 58, 59, 61, 85 
Rollins fund, Miriam and William. 2:00) = eee eee 82 
Roosevelt, Franklin D., President of the United States (member of the 
Institution) sec os So ie te tape oe ae a ne ae xI 
Roper, Daniel C., Secretary of Commerce (member of the Institution) --- XI 
Russell, Dr. Henry Norris, (The atmospheres of the planets).---------- 153 
XII 


Russell. Jo Townsend. 222-222 So ewc ke eo Bee 


INDEX 579 


Ss 

Page 
Salinity of irnigation water, Che (Scofield). -.._.._-_ 2-¢ 7 et.) se 275 
Santord tund eee. 22 eee oa ee Se EL eee 3 2 Pe eee $2 
Shader. Wiiain se ts ee te eth Joo sees 2 Sep oS XII 
Sabmutc Dr. Waldo Tiet2 see St shee ahd ee bee BAB deed lik = >on aie, 
Scofield, Carl S. (The salinity of irrigation water) -__..-..__------------ 275 
Searles, Stanley, editor, Bureau of American Ethnology---------------- XIV 
Selenium absorption by plants and their resulting toxicity to animals 

Qburdakcarrer) a. Ss Sea a een ee apne 5 ET al eet 289 
Baeble Ho Wee ee i ae ee ee le ee eee XII, 16, 32 
Shoemaker: © a 2 tee hee ee ee pp ee he yd Dt xi, 47 
Shoemaker, Coates W., chief clerk, International Exchange Service_- -_--_- XIV 
Simon, F., D. Phil. (The approach to the absolute zero of temperature)_._ 249 
Siramichhwhepresemtatives William), Ties. eet. ete See 20 
Saarinen Meas ee See eS ee a. Siamese parties i 1B 74 
Smithsonian annualereportss 222-2522 2-225. ee te ee eee ee 76 

contrlbutionsytoyknowledte <== =so4-u seeel aa aiaee pee eee eae 74 
endowment fund. 22S. 2S 2 ee Se ed ee eaten Wad 81, 82 
muiscellancous collections == 5-1. s-244 Jo ue5s3 et Seether SoS ES 74-76 
| QPEVWE ST G1 OLE 0G lee a ae era ee ee aap oe A ee Ye ee 82 
APNG MOMCAONS soe 5.2 one oe IR ee eae aia 
lmrestricted(hndss...2-2o-. oh ee oe be ee eee 82 
Smithsonian Institution Exhibit at the California Pacific International 

ERP ONIION ODE eh ae ee eee oe fae a aoe ae eee 9 
Southwestern archeology, A survey of (Roberts) ---------------------- 507 
Bpeciahseseatchtund = 2-22) 22s a2 6 ee eye feet 81, 82 
Benmigerrund. rank 220. eke eo a pe ee tee 82 
Beomipcer sor Meonhard.(a. 22 -- 2 3228 See Se a eee Se ee XII 
EER ELIOT WOMeAseD == 2 ate es oe eae XII 
Stirling, Matthew W., chief, Bureau of American Ethnology__-- x1v, 11, 31, 32 
SLLanom Paani De wes =e ce Soe eee Se eee xIv, 2, 11, 35 
Sunisiplace among the stars, The (Adams) 222.-.-----.2 2-5-2 -2245.--2 139 
Sun’s radiation, Weather governed by changes in the (Abbot) ---------- 93 
SAUD LUT = PG YSOS CU 8d AN i Ee tea en ie nr RUN rel er ey Sed ibs aU? 
Swanson, Claude A., Secretary of the Navy (member of the Institution) _- XI 
STE DOTA). Tare) © Line ee es we ee ee es es ee es xiv, 11, 16, 32 

gi 
“DCE AMON, LER ey al Le is pe ep re Or om Or ae OC aes XIII 
Temperature, absolute zero of, The approach to the (Simon) ________--_- 249 
henampus Honduras) Dheruinsior (Ropence)2--) eee anaes eee eee 559 
Thompson, William F. (Conservation of the Pacific halibut, an interna- 

TORS MP CEMMEMG) © nae ee a ose eee ae ee ime ee ek re ene tS 361 
sRolman hel Woe na Se es Sao See ae See a ee Se eS XIII 
aries VWiebster P:, editor of the Institution] 22-2) =) 2222) e522 ee xI, 79 

U 
UppematmaspheresDhe, (Dobson) 2a s25 22 ae ae ee ee eee 183 
V 
Vitamins, Discovery and significance of (Hopkins) ___-___...__________- 265 
Volcano, an extinct, The glacial history of, Crater Lake National Park 
REL WOO Cl ie os ey naar esi NE Cae ds whe ts eg i eee oe Aas lS i ne ae 303 


36923—36——38 


580 INDEX 


WwW 
Page 
Walcott; Mrs., Mary-Vaux.--.-.2--.- See ae 2 ee eee 85 
Walcott research fund, Charles D. and Mary Vaux.___----__-__-__---- 82 
Walker, Ernest P., assistant director, National Zoological Park___-_-- XIv, 26 
Walker, Sir Gilbert T. (Seasonal weather and its prediction) ___________-_ 117 
Walker, . Wainslow-M-. .224=-+)SOee 4 MOSS 2 ee 11, 35 
Wallace, Henry A., Secretary of Agriculture (member of the Institution) __ XI 
Walsh sSenator Dayidulbe ictus? Doct ie BAe Ae 20 
Water, irrigation,.phe salinity, of.(Scofteld) 435.5253 2 ee 275 
Watkinis% William Nuno S cs. eee. ta 1) tee te ek ee eee eee ee ee XIli 
Weather governed by changes in the sun’s radiation (Abbot)---.-------- 93 
Weather, Seasonal, and its prediction (Walker) ______-__-------------- NOs 
Wenley, Arehibald G., assistant, Freer Gallery of Art._.__.__._----------- XIV 
Wetmore, Dr. Alexander, assistant secretary of the Institution____ x1, xm, 19 
Whatiis.electricity ?.UH6y)) 1.252 65sec ee See 215 
Wihite,.Dr.s Davide.o sek ae Se se a a OS Se eee 19 

Wings over the sea: Are landing places necessary for the commercial aerial 

crossing of the North Atlantic? (Blériot).. 221 2-222 2 ES 453 
Wright, F. E. (The surface features of the moon) --------------------- 169 

ne 
Waerer.& Co.,. William dices 2s a eee eee 87 
YoungerifundjHeélen “Waleottiisw le 20) Se ei Seer a eee 82 

Z 
Zerbee fund, ‘Frances: Brincklé.. Se eee eee 82 
Zoological’ Park,National.2 Se eee 4, 86 
DYATY: sg ee 55, 71 
TCPORb+. ee ce eect Reh ee eek eee emcee eee eee ee 48 
Stamler eo. Oe Heed Aeris SU Ses Se st eee xIV 


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yeas 1) (COer gn 1A Ae 


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